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 |
| Mindy Gonzalez | 7460781 | 1 | 03/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jack William Prinsen | 7754605 | 1 | 01/07/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marlon Pineda | 6904462 | 7 | 05/13/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Delaney | 4939241 | 4 | 08/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Delaney | 4939241 | 4 | 08/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marlon Pineda | 6904462 | 7 | 07/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Marlon Pineda | 6904462 | 7 | 05/01/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |