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 |
|---|---|---|---|---|---|---|---|---|
| Aaron Min-Kee Wallof | 6500874 | 2 | 12/27/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kevin Michael Koch | 1107569 | 4 | 12/13/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Rhonda Ilene Windsor | 6239641 | 1 | 11/10/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jason Nicholson | 6287417 | 2 | 11/01/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Charles Odonnell | 837312 | 2 | 09/06/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas Anthony Pugh | 4165828 | 1 | 08/03/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Curtis | 4448165 | 2 | 07/05/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Diane M Ashton | 2794320 | 1 | 06/16/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Juliana Attwood | 1609096 | 2 | 06/15/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Susanne Joan Daly | 6136711 | 1 | 06/11/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |