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 |
|---|---|---|---|---|---|---|---|---|
| Tracy Elizabeth Richardson | 2395155 | 4 | 11/02/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mary Kathleen Greene | 5591011 | 1 | 10/28/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Wayne Anthony Hervey | 1728540 | 1 | 10/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rasheed Amad Creary | 6961364 | 2 | 10/27/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rasheed Amad Creary | 6961364 | 2 | 10/27/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gardine Percy Wilson | 6644428 | 2 | 10/24/2016 | Customer Dispute | Denied | $8,613.07 | $0.00 | See FINRA Report |
| James Patrick Murphy | 5897478 | 1 | 10/21/2016 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Steven Kajala | 4726999 | 3 | 10/19/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Melany Fang Qu | 5522604 | 1 | 10/19/2016 | Customer Dispute | Denied | $30,410.80 | $0.00 | See FINRA Report |
| Ernesto D Ramirez | 2787283 | 3 | 10/17/2016 | Customer Dispute | Denied | $6,581.92 | $0.00 | See FINRA Report |