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 |
|---|---|---|---|---|---|---|---|---|
| David Michael Vaughan | 4747122 | 1 | 05/01/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Scott Allan Ulves | 2504183 | 2 | 10/04/1996 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Joseph Coughlin | 2967951 | 2 | 12/22/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Troy Glen Hammond | 2254232 | 1 | 08/07/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Richard Edmond Wedge | 2071103 | 1 | 06/03/1990 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Tony Joseph Winkeljohn | 2272603 | 2 | 10/24/1986 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles Brooker Blanton | 1339840 | 1 | 08/01/1986 | Customer Dispute | Settled | $34,000.00 | $0.00 | See FINRA Report |
| Scott Allan Ulves | 2504183 | 2 | 11/23/1983 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |