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 |
|---|---|---|---|---|---|---|---|---|
| Michael E Fogarty | 1736514 | 2 | 09/30/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Paul M Miller | 7832765 | 1 | 05/18/2023 | Regulatory | Pending | $0.00 | $0.00 | See FINRA Report |
| James Joseph Kupres | 1882516 | 1 | 03/02/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Martinez | 4966013 | 3 | 10/05/2021 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Steven Kajala | 4726999 | 3 | 04/01/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Christopher Michael Graney | 6424824 | 4 | 02/28/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Mark Joseph Diebold | 2137826 | 2 | 12/03/2018 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Renard Wilson | 4533681 | 5 | 09/25/2018 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Kimberly Lynn Herrera | 2906642 | 2 | 10/20/2017 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Michael Alan Tegland | 5656596 | 2 | 10/17/2016 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |