Andrew Jacob Johnson is currently employed as a Broker and/or Investment Adviser at PRINCIPAL SECURITIES, INC. located at 1100 Technology Pkwy, Cedar Falls, IA, 50613.
Andrew Jacob Johnson has worked at PRINCIPAL SECURITIES, INC. since December 21, 2015
Disclosure History
Andrew Jacob Johnson has 3 Disclosure Event(s).
Date: September 19, 2015 Category: Judgment / Lien Judgment/Lien Amount: $4,802.45 Judgment/Lien Type: Civil Broker Comment: Unemployed and underemployed litigation pending, no payment plan in place yet. working on settlement, waiting on proof of employment with Principal and income verification.
Date: June 18, 2015 Category: Judgment / Lien Judgment/Lien Amount: $4,615.31 Judgment/Lien Type: Civil Broker Comment: Issue with being unemployed and then underemployed, post medical issue so had a few bills that fall behind. litigation pending, no payment plan in place yet. working on settlement, waiting on proof of employment with Principal and income verification.
Date: August 29, 2014 Category: Judgment / Lien Judgment/Lien Amount: $5,040.69 Judgment/Lien Type: Civil Broker Comment: unemployed, underemployed, litigation pending, no payment plan in place yet. working on settlement, waiting on proof of employment with Principal and income verification.
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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