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 |
|---|---|---|---|---|---|---|---|---|
| Sanjiv Kumar Jaswal | 2460160 | 4 | 06/05/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matt Uno | 6137515 | 1 | 05/17/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Vicky Rivera | 6197757 | 1 | 04/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Scarlin A Mendoza | 7399452 | 2 | 03/15/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kyle David Treadwell | 6351580 | 2 | 03/14/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kyle David Treadwell | 6351580 | 2 | 03/14/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Carla Levy | 6620013 | 1 | 11/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael John Ritter | 7161594 | 2 | 11/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kimberly Lynn Herrera | 2906642 | 3 | 10/20/2017 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Arthur Lee Barnette | 5859876 | 2 | 10/18/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |