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 |
|---|---|---|---|---|---|---|---|---|
| Margaret Mary Furlong | 1832781 | 1 | 03/07/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rodney Leon Pace | 1102106 | 10 | 03/03/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Michael Muldoon | 6806059 | 1 | 01/27/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Francis McCarthy | 4910956 | 12 | 01/14/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Pietsch | 7735342 | 2 | 01/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Damon Jerome Drew | 2679256 | 2 | 12/31/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nancy Louise Roach-Wilder | 1309581 | 2 | 12/22/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Pierce Kelley | 5967615 | 1 | 12/17/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alcira Burgdoerfer | 6363886 | 1 | 12/10/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carla Evette Clark | 6740443 | 1 | 11/30/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |