Roger T. Helal
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.
Roger Thomas Helal was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1983. Roger had worked at 13 firms and has passed the Series 65, Series 63, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2013 - August 26, 2014
PRUCO SECURITIES, LLC.
November 13, 2013 - August 26, 2014
PRUCO SECURITIES, LLC.
October 30, 2006 - April 5, 2012
CUNA BROKERAGE SERVICES, INC.
October 30, 2006 - April 5, 2012
CUNA BROKERAGE SERVICES, INC.
October 5, 2005 - October 24, 2006
OSAIC FA, INC.
September 13, 2005 - June 8, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
September 13, 2005 - October 24, 2006
OSAIC FA, INC.
July 26, 2000 - October 31, 2005
OSAIC INSTITUTIONS, INC.
November 4, 1997 - October 31, 2005
OSAIC INSTITUTIONS, INC.
August 20, 1997 - November 12, 1997
LPL FINANCIAL LLC
March 18, 1994 - September 4, 1997
OSAIC INSTITUTIONS, INC.
October 4, 1993 - March 25, 1994
ADLER COLEMAN & CO., INC.
September 7, 1989 - October 6, 1993
EQUITY SERVICES, INC.
January 6, 1986 - September 9, 1989
LINSCO FINANCIAL GROUP, INC.
March 5, 1985 - October 4, 1989
G. R. PHELPS & CO., INC.
January 25, 1984 - January 10, 1986
TOWNSLEY ASSOCIATES & COMPANY, INC.
June 19, 1983 - August 22, 1983
AETNA LIFE INSURANCE AND ANNUITY COMPANY
February 8, 1983 - January 17, 1984
MHA FINANCIAL CORP
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.
