Our Staff has compiled our research into a database of FINRA Broker Disclosures for Pruco 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 |
|---|---|---|---|---|---|---|---|---|
| Oliver G Arnold | 5654461 | 1 | 07/16/2023 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Angelo Rosero | 4193645 | 1 | 06/30/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kyle L Baker | 6465092 | 2 | 06/28/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas J Wood | 6431575 | 1 | 04/22/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robby Dinh | 7179796 | 1 | 03/22/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Salvatore Dominick Comella | 7825259 | 1 | 10/20/2021 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Edwin Justin Gooding | 6775062 | 2 | 06/07/2021 | Criminal | Pending Charge | $0.00 | $0.00 | See FINRA Report |
| Daniel Christopher Duren | 1534043 | 2 | 03/04/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew McCormack | 7793841 | 1 | 12/10/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Emmanuel-Jeanluc Constant | 7679204 | 1 | 06/15/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |