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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Francis Murphy | 1005939 | 2 | 04/30/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Francis McCarthy | 4910956 | 12 | 04/29/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Stasie Jones | 5404055 | 1 | 04/20/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Francis McCarthy | 4910956 | 12 | 04/15/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Clarissa Iris Holmes | 4867991 | 2 | 04/14/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Luis Daniel Negron | 2758900 | 5 | 04/08/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rockcliff Siomen Christie | 7080390 | 1 | 04/05/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Riziero Richard Botta | 4367798 | 3 | 03/24/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| George R Mullin | 5527458 | 1 | 03/21/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jose M Borro | 6010700 | 2 | 03/14/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |