Joseph A. Masuelli
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joseph Anthony Masuelli, who also goes by Joe Maxwell, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1982. Joseph had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 23, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2020 - January 29, 2024
PRUCO SECURITIES, LLC.
April 25, 2018 - January 29, 2024
PRUCO SECURITIES, LLC.
January 20, 2016 - March 14, 2018
INVESTMENT PROFESSIONALS, INC.
December 17, 2013 - August 27, 2015
MULTI-BANK SECURITIES, INC.
June 5, 2013 - December 20, 2013
NATALLIANCE SECURITIES, LLC
March 8, 2012 - November 2, 2012
CRT CAPITAL GROUP LLC
August 25, 2010 - March 26, 2012
PIERPONT CAPITAL ADVISORS LLC
August 7, 2000 - July 15, 2010
SCOTT & STRINGFELLOW, LLC
May 22, 1998 - July 17, 2000
ADVEST, INC.
November 4, 1996 - June 2, 1998
FIRST CLEARING, LLC
April 4, 1996 - October 22, 1996
SUNCOAST CAPITAL GROUP, LTD.
August 18, 1994 - April 2, 1996
MERIDIAN SECURITIES, INC.
July 25, 1987 - August 20, 1994
MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.
November 24, 1982 - August 18, 1994
MARCUS, STOWELL & BEYE, INC.
Primary Firm SEC Registration
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SOLE MEMBER | |
| FELICIANO, DEXTER MICHAEL | PRESIDENT | 5483537 |
| FLORIO, KELLY NICOLE | ANTI-MONEY LAUNDERING OFFICER | 6446272 |
| FONTANO, ANTHONY MICHAEL | ELECTED MANAGER | 6852155 |
| HYNES, PATRICK LIAM | CHAIRMAN, ELECTED MANAGER | 2748918 |
| PATEL, PARANJ | CHIEF COMPLIANCE OFFICER | 4235738 |
| SMIT, ROBERT PHILIP | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, CONTROLLER, PRINCIPAL OPERATIONS OFFICER | 2332366 |
| THOMSEN, JORDAN KARSTEN | CHIEF LEGAL OFFICER | 2821664 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 13 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 12/22/2023 | ||
| 12/22/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
