Kathleen A. Heaney
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.
Kathleen A Heaney, who also goes by Kathleen Heaney, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1983. Kathleen had worked at 12 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 22, Series 6, Series 26 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
March 4, 2014 - June 18, 2015
PRUCO SECURITIES, LLC.
January 27, 2014 - January 21, 2016
PRUCO SECURITIES, LLC.
January 17, 2012 - September 12, 2012
OSAIC FA, INC.
January 9, 2012 - September 12, 2012
OSAIC FA, INC.
June 16, 2011 - November 10, 2011
NYLIFE SECURITIES LLC
May 24, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
May 24, 2006 - February 20, 2009
MSI FINANCIAL SERVICES, INC.
March 11, 2004 - October 18, 2004
VOYA FINANCIAL PARTNERS, LLC
July 25, 2002 - December 31, 2003
VOYA FINANCIAL PARTNERS, LLC
June 27, 2002 - October 18, 2004
VOYA FINANCIAL PARTNERS, LLC
June 28, 2001 - November 29, 2001
FIDELITY BROKERAGE SERVICES LLC
January 27, 1999 - June 28, 2001
FIDELITY DISTRIBUTORS COMPANY LLC
March 2, 1988 - April 11, 1997
IFMG SECURITIES, INC.
September 4, 1986 - March 11, 1988
COMMONWEALTH FINANCIAL NETWORK
August 8, 1983 - September 8, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
August 8, 1983 - September 10, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
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.
