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 |
|---|---|---|---|---|---|---|---|---|
| Tracy Elizabeth Richardson | 2395155 | 4 | 10/01/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| MacArio Dabu Sambat | 5195599 | 1 | 09/30/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Stuart Feldman | 6723405 | 1 | 09/09/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jack J Hallak | 2981137 | 1 | 09/03/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Todd Abrams | 2693512 | 2 | 07/29/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cynthia Martin Michel | 2807418 | 1 | 07/15/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Seong-Wook Kim | 4613259 | 4 | 06/30/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Francis McCarthy | 4910956 | 12 | 06/14/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Claudia Ava Baggot | 1205024 | 2 | 06/13/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Oscar Neal Ford | 7142834 | 1 | 05/12/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |