Search for: "Pruco Securities, LLC "
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25 Apr 2021, 1:10 pm
Roc or Pruco Securities LLC. [read post]
17 Oct 2023, 12:39 pm
According to his FINRA BrokerCheck report, Pelletiere was reportedly affiliated with the following firms during his career in the securities industry, among others: 06/10/2019 – 10/31/2022, PRUCO SECURITIES, LLC. [read post]
14 Jul 2016, 7:13 am
Turner had been employed and registered with Pruco Securities, LLC, a broker-dealer, from July 2013 to August 2015, according to his publicly available BrokerCheck, as maintained by the Financial Industry Regulatory Authority (FINRA). [read post]
22 Apr 2013, 4:27 am
Fay first became registered in 1994 with Pruco Securities, LLC , where he remained until his September 17, 2012, discharge. [read post]
19 May 2017, 9:08 am
Formerly of Metlife Securities Inc. and Pruco Securities, LLC, Turner accrued nearly two dozen disclosures — including customer disputes, a regulatory action, and a separation following allegations — during his three-year tenure in the industry. [read post]
9 Jun 2023, 12:54 pm
(CRD#:6694), ST PETERSBURG, FL, B, 02/01/2013 – 07/02/2020, PRUCO SECURITIES, LLC. [read post]
28 Apr 2021, 6:35 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois. [read post]
21 Apr 2022, 7:18 am
(CRD#:39550) of Wilmington, MA, and Pruco Securities, LLC. [read post]
24 Nov 2020, 8:49 am
Hector Luna (Hector Luis Luna) is a previously registered broker whose last employer was Pruco Securities, LLC. [read post]
28 Nov 2023, 7:42 am
Petersburg, FL, and Pruco Securities, LLC. [read post]
10 Sep 2019, 1:56 pm
The securities attorneys at Gana Weinstein LLP are investigating advisor Michael Arteca (Arteca), currently registered with Pruco Securities, LLC. [read post]
10 Apr 2015, 6:14 am
Thereafter, Anderson was associated with Pruco Securities, LLC (Pruco) from February 2012 to September 13, 2012, when Pruco terminated his employment. [read post]
18 Jan 2010, 5:24 pm
Pruco Securities, LLC (CRD #5685, Newark, New Jersey) and Prudential Investment Management Services LLC (CRD #18353, Newark, New Jersey) submitted a Letter of Acceptance, Waiver and Consent in which they were censured, fined $525,000, jointly and severally, and required to conduct an audit and prepare written findings regarding their compliance with NASDrules relating to the filing, approval and recordkeeping requirements for advertisements and sales literature. [read post]
3 Aug 2020, 6:37 am
Advisor Christopher Shaw (Shaw), currently employed by Pruco Securities LLC (Pruco) and formerly employed by Kalos Capital, Inc. [read post]
23 Sep 2020, 4:58 pm
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
9 May 2018, 9:00 am
FINRA alleges Andrews-McKay first converted $29,648.19 from two firm clients, while working at Pruco Securities. [read post]
7 Mar 2009, 9:18 am
For more information about non qualified structured settlements and non qualified assignment click hereThe three non qualified structured settlement programs now offered through settlement consultants, such as 4structures.com, LLC, are Allstate International Assignments, Ltd., Pruco Assignment Corporation and Barco Assignments, Ltd. [read post]
29 Dec 2020, 6:28 am
Roger Duval (Roger Allen Duval CRD#: 2503718) is a former registered broker and investment advisor whose last known employer was Pruco Securities, LLC. [read post]
4 Aug 2023, 7:34 am
Arive Capital Markets Tariq Sales Spartan Capital Securities, LLC Newbridge Securities Corporation Troy West Innovation Partners, LLC Southeast Investments, N.C. [read post]
20 Apr 2022, 12:42 pm
Previous employers include Maxim Group LLC (CRD#:120708) of New York, NY, Pruco Securities, LLC. [read post]
