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 |
|---|---|---|---|---|---|---|---|---|
| Daniel Seong-Wook Kim | 4613259 | 4 | 05/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patricia Leonor Thompson | 5381151 | 1 | 03/20/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ronald Curtiss Sharp | 1075183 | 1 | 03/06/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Ronald Gagnon | 2346176 | 3 | 02/27/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Pene Sue Shoemaker | 5948922 | 1 | 02/22/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alicia Marie Bailey | 5262232 | 1 | 02/19/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jose M Borro | 6010700 | 2 | 01/01/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Debra Herrlinger | 2090573 | 3 | 12/31/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Renard Wilson | 4533681 | 5 | 12/23/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dwayne Epplin | 6340740 | 1 | 12/05/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |