Our Staff has compiled our research into a database of FINRA Broker Disclosures for Athene 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 |
|---|---|---|---|---|---|---|---|---|
| Jill Marie Ruttenberg | 1393769 | 3 | 06/15/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dennis Roy Higgins | 2844981 | 15 | 09/28/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dennis Roy Higgins | 2844981 | 15 | 08/01/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dennis Roy Higgins | 2844981 | 15 | 08/01/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dennis Roy Higgins | 2844981 | 15 | 10/06/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dennis Roy Higgins | 2844981 | 15 | 10/06/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dennis Roy Higgins | 2844981 | 15 | 08/28/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jill Marie Ruttenberg | 1393769 | 3 | 06/04/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dennis Roy Higgins | 2844981 | 15 | 12/12/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dennis Roy Higgins | 2844981 | 15 | 11/14/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |