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 |
|---|---|---|---|---|---|---|---|---|
| Kyle David Treadwell | 6351580 | 2 | 03/14/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kyle David Treadwell | 6351580 | 2 | 03/14/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nancy Jean Hartford | 6872384 | 1 | 02/28/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nathan Michael Badowski | 4198119 | 4 | 02/23/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alex Martin Lospinoso | 5983515 | 1 | 02/15/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kenneth W Mullins | 5978613 | 1 | 02/05/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Philip Mark Allopenna | 6311090 | 1 | 02/05/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Diane Harriet Arnstein | 2313882 | 7 | 01/26/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brandon Boyd Hanna | 3225573 | 2 | 01/17/2018 | Customer Dispute | Denied | $350,000.00 | $0.00 | See FINRA Report |
| W Marcus Harrison | 6907407 | 1 | 01/17/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |