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 |
|---|---|---|---|---|---|---|---|---|
| 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 |
| Christopher Lee Maxwell | 4213930 | 1 | 09/20/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Doreen Kramer | 2507970 | 2 | 09/13/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jay Randall Kimball | 5084444 | 3 | 08/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dillon Broderick | 5809282 | 2 | 07/24/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Joseph Dauer | 4862901 | 2 | 06/30/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Robert Guarino | 1626169 | 8 | 06/20/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |