Our Staff has compiled our research into a database of FINRA Broker Disclosures for Pershing Advisor Solutions 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 |
|---|---|---|---|---|---|---|---|---|
| Regina L Loeks | 4850106 | 3 | 06/13/2024 | Customer Dispute | Pending | $51,271.00 | $0.00 | See FINRA Report |
| Wilson Shyree | 6557665 | 2 | 09/01/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Andrew Cary | 3013444 | 5 | 10/11/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Janette Breton | 3246629 | 1 | 04/26/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Peter MacArthur | 3026497 | 1 | 05/04/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Marc Volcy | 2958849 | 1 | 05/24/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Edie Moffett | 4138673 | 2 | 04/23/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Edie Moffett | 4138673 | 2 | 12/14/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kristi Marie Albertsen | 2706279 | 1 | 06/22/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Cary | 3013444 | 5 | 05/04/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |