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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Anthony Persempere | 2925716 | 1 | 11/15/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Robert Guarino | 1626169 | 8 | 09/29/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Duane Eugene Umphress | 7016717 | 2 | 09/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Duane Eugene Umphress | 7016717 | 2 | 09/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Keith Glenn Manning | 7268546 | 1 | 09/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Renard Wilson | 4533681 | 5 | 09/25/2018 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Artur A Stypula | 4831792 | 1 | 09/19/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Basenese | 4721418 | 4 | 09/12/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Raj Patel | 2701333 | 1 | 09/06/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joaquin Earl Wallace | 6539167 | 1 | 08/31/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |