Our Staff has compiled our research into a database of FINRA Broker Disclosures for Pensionmark 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 |
|---|---|---|---|---|---|---|---|---|
| Michael Andre Aguado | 4402740 | 15 | 05/15/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Andre Aguado | 4402740 | 15 | 05/15/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Andre Aguado | 4402740 | 15 | 05/15/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Andre Aguado | 4402740 | 15 | 05/15/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Andre Aguado | 4402740 | 15 | 05/15/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ann Margaret Johnson | 2884544 | 1 | 10/19/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Darrien Gaines | 6691077 | 1 | 03/29/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Shapiro | 1651148 | 2 | 07/25/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Shapiro | 1651148 | 2 | 07/25/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tuyen Le Pham | 2815844 | 1 | 09/30/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |