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 |
|---|---|---|---|---|---|---|---|---|
| Phillip Chartchai Kiriboon | 4004129 | 1 | 05/15/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Nathan Michael Badowski | 4198119 | 4 | 04/21/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Joseph Marable | 2311940 | 1 | 04/17/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Tracy Elizabeth Richardson | 2395155 | 4 | 04/14/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven Harrison | 6332769 | 2 | 04/12/2017 | Customer Dispute | Denied | $12,788.00 | $0.00 | See FINRA Report |
| Shane A Dayton | 4095326 | 1 | 04/11/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ernesto D Ramirez | 2787283 | 3 | 04/07/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Bryan Nelson Johnson | 2725555 | 2 | 03/31/2017 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Gail Eva Hollingsworth | 2982050 | 2 | 03/30/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alexander S MacGregor | 5084614 | 1 | 03/30/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |