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 |
|---|---|---|---|---|---|---|---|---|
| Dennis Joe Morrison | 5048339 | 1 | 08/13/2007 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ryan James Dybas | 6523768 | 1 | 09/05/2005 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jarret W McFarland | 6384787 | 2 | 03/11/2004 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Adam Puller | 4800726 | 2 | 07/12/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian Thomas Sharrow | 6005254 | 1 | 06/14/2003 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Philip Russell Holmes | 5388190 | 1 | 04/15/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ian Paul Dumont | 2762526 | 1 | 06/26/2000 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Aaron Stanton McFarland | 5789243 | 1 | 04/01/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gary Scott Johanson | 1509440 | 1 | 12/11/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Brad Michael Scott | 7817123 | 1 | 06/24/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |