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 |
|---|---|---|---|---|---|---|---|---|
| Eric Bradley Thompson | 1273352 | 1 | 05/23/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Emmanuel Willis | 7797606 | 4 | 05/19/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Emmanuel Willis | 7797606 | 4 | 05/18/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Craig Lee Platt | 7220346 | 1 | 05/01/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Mussenden | 7858614 | 1 | 04/03/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mari Anne Nesse-Wyssbrod | 4519368 | 2 | 02/09/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David John Zauner | 2027403 | 2 | 01/31/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dylan Frawley | 7748507 | 1 | 01/24/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jesus Saenz | 7432753 | 3 | 01/17/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Andrew Valentine | 2334877 | 9 | 12/28/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |