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 |
|---|---|---|---|---|---|---|---|---|
| Ronald Wayne Moore | 2156178 | 2 | 02/03/1999 | Customer Dispute | Settled | $350,144.00 | $0.00 | See FINRA Report |
| Rodney Arthur Kjersten | 1722781 | 1 | 01/25/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Latina Renay MacKey | 6714838 | 1 | 12/18/1998 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tyler Joe Stevens | 5401728 | 1 | 10/26/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ray Frank Avrett | 1704793 | 8 | 04/16/1998 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Todd J Barden | 2072385 | 3 | 01/22/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Quintrell L McCreary | 7709780 | 1 | 01/14/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ray Frank Avrett | 1704793 | 8 | 11/25/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ray Frank Avrett | 1704793 | 8 | 11/25/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ray Frank Avrett | 1704793 | 8 | 11/25/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |