Our Staff has compiled our research into a database of FINRA Broker Disclosures for Principal Securities, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Michael Alexander Jones | 6120448 | 1 | 02/17/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Philip Jordan Olstein | 1303035 | 2 | 01/21/2022 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Samuel Wesley Pitt | 6699078 | 1 | 12/22/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Richard Alan Strevey | 1200426 | 1 | 10/01/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Scott Standen | 1395047 | 1 | 09/03/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ryan Andrew Keller | 7495847 | 1 | 08/30/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Justin Royal Kuitu | 4397314 | 5 | 08/18/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jared P Roaten | 4151120 | 2 | 07/28/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert McCarey | 5490728 | 1 | 05/10/2021 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Dale Duane Bartlett | 2625302 | 1 | 03/19/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |