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 |
|---|---|---|---|---|---|---|---|---|
| Nathan Michael Badowski | 4198119 | 4 | 04/21/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Shane A Dayton | 4095326 | 1 | 04/11/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ernesto D Ramirez | 2787283 | 3 | 04/07/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Steven Harrison | 6332769 | 2 | 03/15/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Patrick Murphy | 5897478 | 1 | 10/21/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kenny Scott Johnson | 5912427 | 1 | 01/20/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| David R Gould | 4614702 | 1 | 08/28/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kent Manqing Hu | 2891389 | 1 | 07/20/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dana Seto-Chun | 4115207 | 1 | 07/29/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| John Barton Whitehead | 2156117 | 1 | 01/23/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |