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 |
|---|---|---|---|---|---|---|---|---|
| Robert Lee Becker | 7110921 | 1 | 01/26/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Renee Anita King | 7806431 | 3 | 01/19/2017 | 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 |
| Theresa Marie Daly | 5477087 | 1 | 01/17/2017 | 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 |
| Jacques Moringlane | 5621054 | 1 | 01/16/2017 | 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 |
| 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 |
| James Francis McCarthy | 4910956 | 12 | 12/09/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |