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 |
|---|---|---|---|---|---|---|---|---|
| Joel Paul Erikson | 2959020 | 1 | 02/22/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David A Yaffee | 4251517 | 1 | 02/09/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Francis McCarthy | 4910956 | 12 | 01/26/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Francis McCarthy | 4910956 | 12 | 01/18/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Larry M Grubish | 6181691 | 1 | 01/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Francis McCarthy | 4910956 | 12 | 12/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Burgdoerfer | 6267943 | 1 | 12/23/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Lisa Nicole Lovell | 6942102 | 2 | 12/20/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Francis McCarthy | 4910956 | 12 | 12/13/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert MacPherson Wilmoth | 2254412 | 3 | 12/09/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |