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 |
|---|---|---|---|---|---|---|---|---|
| William Shin | 6834197 | 2 | 07/17/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Larry Joseph Dolan | 5846213 | 1 | 06/08/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Nicole Veni | 5207732 | 1 | 12/13/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jason Nicholson | 6287417 | 1 | 10/23/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Luis Daniel Negron | 2758900 | 5 | 03/26/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Anthony Pietrykowski | 4762644 | 2 | 02/13/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kenneth W Mullins | 5978613 | 1 | 02/05/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Anna Fahmy | 5909960 | 1 | 01/10/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Frank Joseph Diliberto | 5648180 | 1 | 07/10/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Phillip Chartchai Kiriboon | 4004129 | 1 | 05/15/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |