ANDREA LOUISE MORATO-LARA

ANDREA LOUISE MORATO-LARA is currently employed as a Broker and/or Investment Adviser at PRINCIPAL SECURITIES, INC. located at 711 HIGH ST, DES MOINES, IA, 50392.

ANDREA LOUISE MORATO-LARA has worked at PRINCIPAL SECURITIES, INC. since April 10, 2012

Disclosure History

ANDREA LOUISE MORATO-LARA has 6 Disclosure Event(s).

Date: April 13, 2016
Category: Financial
Type: Bankruptcy

Date: September 30, 2015
Category: Judgment / Lien
Judgment/Lien Amount: $1,023.50
Judgment/Lien Type: Civil
Broker Comment: citation R0754027-1

Date: August 14, 2015
Category: Judgment / Lien
Judgment/Lien Amount: $1,023.50
Judgment/Lien Type: Civil
Broker Comment: Citation R0874509-6

Date: June 26, 2015
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: October 21, 2013
Category: Judgment / Lien
Judgment/Lien Amount: $1,023.50
Judgment/Lien Type: Civil
Broker Comment: This originates from a citation for a city property codes violation mailed to my old address in Pennsylvania. I was unaware of this judgment prior to the notice date above, Both the citation and the filing documents were mailed to my old address, not my legal address registered with the USPS. I have entered into a paymentplan with the Magisterial District Court I contacted Dauphin County for confirmation that there are no liens out against me related to this judgment or any other. citation P9952981-3

Date: October 21, 2013
Category: Judgment / Lien
Judgment/Lien Amount: $1,023.50
Judgment/Lien Type: Civil
Broker Comment: citation P9952982-4

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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