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 |
|---|---|---|---|---|---|---|---|---|
| Mike Mohammad Hassan Zandian | 2287424 | 3 | 10/11/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Edward Gaudio | 1488931 | 1 | 09/12/1989 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Joseph Harris | 1140693 | 1 | 08/23/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Basenese | 4721418 | 4 | 05/20/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Shuchen Fei | 2386618 | 2 | 02/15/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Edward Andrew Johnson | 7869599 | 3 | 01/09/1989 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Edward Andrew Johnson | 7869599 | 3 | 08/02/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gerald Lee Vanderhorst | 4431159 | 1 | 03/10/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Glenn Dale Weyand | 1343866 | 3 | 01/21/1988 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Frank Mastrosimone | 322615 | 4 | 08/11/1987 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |