Our Staff has compiled our research into a database of FINRA Broker Disclosures for Mutual of America Securities LLC. 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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Merritt Bottomley | 7110405 | 1 | 07/12/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Xiomara J La Grenade | 4128334 | 2 | 06/29/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Fredrick Ringel | 3250381 | 1 | 06/11/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Vinh Quang do | 5410292 | 1 | 06/09/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Milleshia Candace Gavin | 7548613 | 1 | 01/21/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mindy Gonzalez | 7460781 | 1 | 03/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dalia L Parchmon | 4808417 | 1 | 02/13/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Charles Thorn | 5858987 | 2 | 04/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Charles Thorn | 5858987 | 2 | 04/27/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gerald Michael Taylor | 5649838 | 3 | 01/09/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |