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 |
|---|---|---|---|---|---|---|---|---|
| Ashley Deanne Cole | 6228942 | 2 | 09/30/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christopher Lee Maxwell | 4213930 | 1 | 09/20/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Evan C Davies | 6219289 | 5 | 09/05/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alfredo Parra | 4669615 | 1 | 07/17/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Robert Reuven Weigert | 1051343 | 1 | 07/11/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Patrick Joseph Dauer | 4862901 | 2 | 06/30/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Fogal | 4818794 | 3 | 06/30/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Laura MacK | 6593968 | 1 | 06/12/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jonathon K Rogers | 5151371 | 3 | 05/22/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Tejan Anthony Farrell | 1822807 | 2 | 05/20/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |