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 |
|---|---|---|---|---|---|---|---|---|
| Harmeet Singh Hayer | 6238908 | 1 | 01/19/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Shuo Li | 6614364 | 1 | 06/30/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Daniel Anthony Santos | 5722710 | 1 | 06/14/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Maja Patricja Sobolewska | 4976505 | 1 | 05/31/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Andrew David Busch | 6366563 | 1 | 04/03/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Obrien | 6188853 | 1 | 03/02/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Alan Bishop | 2879349 | 3 | 01/10/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Mattia | 6786941 | 1 | 10/19/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Allison V Destefano | 6910184 | 3 | 08/08/2022 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Carolina Pamintuan Tanjutco | 5565044 | 2 | 11/15/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |