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 |
|---|---|---|---|---|---|---|---|---|
| James Francis McCarthy | 4910956 | 12 | 11/29/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Margaret Jean Swords | 6537806 | 1 | 11/22/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Francis McCarthy | 4910956 | 12 | 11/14/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kelly Marie Weis | 4380241 | 1 | 11/03/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tracy Elizabeth Richardson | 2395155 | 4 | 11/02/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Wayne Anthony Hervey | 1728540 | 1 | 10/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rasheed Amad Creary | 6961364 | 2 | 10/27/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rasheed Amad Creary | 6961364 | 2 | 10/27/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Kajala | 4726999 | 3 | 10/19/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Michael Alan Tegland | 5656596 | 2 | 10/17/2016 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |