DAVID WILLIAM SMITH at PRUCO SECURITIES, LLC. – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)



CRD# 5349530

Disclosure #1 for DAVID SMITH

    • Event Date: 3/28/2022
    • Disclosure Type: Customer Dispute
    • Resolution: Denied
    • Allegations: Customer Alleges the rep failed to disclose the replacement of his policy.
    • Arbitration Docket Number:
    • Broker Comment: The transaction in question was initiated by the client as a contractual term conversion. The client converted their term policy into a VUL at the end of the level term period. All required information, including replacement documentation, was delivered, and signed by the client. The complaint was denied.

Should I file a FINRA complaint against brokers like DAVID WILLIAM SMITH?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update – 2022.11.15If you have suffered investment losses that may have been caused by DAVID WILLIAM SMITH’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

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Frequently Asked Questions About DAVID WILLIAM SMITH

What is DAVID SMITH’s Central Registration Depository (CRD) Number?

Which firm is DAVID WILLIAM SMITH associated with?


Where is DAVID SMITH located?


Where can I find more details about DAVID SMITH’s Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/5685 to read a detailed report for PRUCO SECURITIES, LLC.

Are there any disclosures, allegations or complaints filed against DAVID WILLIAM SMITH?

Yes. There are disclosures, allegations, or complaints filed against DAVID WILLIAM SMITH. Click here to view all details

Where can I download a detailed FINRA report for DAVID SMITH?

Click here to download a detailed FINRA report for DAVID SMITH

Is it safe to do business with DAVID WILLIAM SMITH?

We’re not sure. Please research DAVID SMITH’s disclosures, allegations and complaints before taking a decision

Originally reported on November 15, 2022 @ 11:40 pm

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