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 |
|---|---|---|---|---|---|---|---|---|
| Clint David Hinderaker | 4819652 | 2 | 01/15/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Presley Austin Carter | 841616 | 3 | 01/14/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Signe Marie Nelson-Combs | 5834293 | 2 | 01/13/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicholas R Flatness | 5141967 | 1 | 12/14/2014 | Customer Dispute | Denied | $7,500.00 | $0.00 | See FINRA Report |
| Sara Mills-Gaines | 5479702 | 5 | 12/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Vernon Benninghoven | 2839187 | 1 | 11/17/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Randy Robert Rheault | 4594132 | 1 | 11/10/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ralph Jeffrey Ulferts | 1803867 | 1 | 10/27/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brian Kenneth Davis | 4049856 | 1 | 10/21/2014 | Customer Dispute | Settled | $34,570.00 | $0.00 | See FINRA Report |
| Cody Robert Sikorski | 6613465 | 1 | 10/18/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |