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 |
|---|---|---|---|---|---|---|---|---|
| George Enderle | 2485756 | 1 | 02/22/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jaime Alberto Chavez Llerenas | 4851520 | 2 | 02/14/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly Lynn Herrera | 2906642 | 2 | 12/26/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Camille Andrea Lopez | 5921019 | 1 | 12/11/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Renee Anita King | 7806431 | 3 | 11/30/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Seong-Wook Kim | 4613259 | 4 | 11/21/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Margaret Larkin Jones | 5961724 | 8 | 10/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| George Chui | 5534010 | 2 | 10/22/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Michael Moravchik | 4427014 | 4 | 10/17/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Lee Maxwell | 4213930 | 1 | 09/20/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |