Our Staff has compiled our research into a database of FINRA Broker Disclosures for Pershing 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 |
|---|---|---|---|---|---|---|---|---|
| Stanley Mark | 2504171 | 1 | 04/24/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Nelson Garcia | 5986605 | 4 | 01/15/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nelson Garcia | 5986605 | 4 | 01/15/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nelson Garcia | 5986605 | 4 | 01/15/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nelson Garcia | 5986605 | 4 | 01/15/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Latricia Shaniece Bennett | 6167020 | 2 | 10/11/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kristi Marie Albertsen | 2706279 | 1 | 06/22/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Paul Frisch | 5899755 | 6 | 04/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Claudia Henderson | 5859820 | 1 | 10/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Latricia Shaniece Bennett | 6167020 | 2 | 10/30/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |