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 |
|---|---|---|---|---|---|---|---|---|
| James Francis McCarthy | 4910956 | 12 | 12/13/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Darin Thomas Moening | 5622024 | 2 | 12/12/2016 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Francis McCarthy | 4910956 | 12 | 12/09/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brendan Robert Snyder | 5794470 | 1 | 12/05/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Joseph McHugh | 1496482 | 2 | 12/01/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ricky Michael Sasso | 2689017 | 2 | 12/01/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Francis McCarthy | 4910956 | 12 | 11/29/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Margaret Jean Swords | 6537806 | 1 | 11/22/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Francis McCarthy | 4910956 | 12 | 11/14/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kelly Marie Weis | 4380241 | 1 | 11/03/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |