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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Anthony Pugh | 4165828 | 1 | 08/03/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Russell Sweeney | 1598853 | 2 | 07/12/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kernit Clark Seaton | 4693511 | 1 | 07/07/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Terrance L Dubois | 4229942 | 4 | 06/13/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ryan Andrew Howarth | 6033703 | 2 | 06/09/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Wardell Littles | 6896484 | 1 | 03/31/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brian Dean Parker | 1759840 | 4 | 03/08/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ryan Andrew Howarth | 6033703 | 2 | 02/22/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Anthony Martinez | 4966013 | 3 | 10/08/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dillon Broderick | 5809282 | 2 | 08/09/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |