Stuart I. Hutchins
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.
Stuart Ian Hutchins was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1983. Stuart had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 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 10, 2020 - January 19, 2023
PRUCO SECURITIES, LLC.
March 10, 2020 - January 19, 2023
PRUCO SECURITIES, LLC.
December 19, 2017 - February 4, 2019
HIGHTOWER ADVISORS, LLC
September 5, 2017 - February 4, 2019
HIGHTOWER SECURITIES, LLC
April 27, 2010 - September 11, 2017
PACIFIC SELECT DISTRIBUTORS, LLC
October 18, 2007 - July 27, 2009
OLD MUTUAL CAPITAL
May 25, 2007 - July 27, 2009
OLD MUTUAL INVESTMENT PARTNERS
February 2, 2006 - May 22, 2007
LINCOLN FINANCIAL DISTRIBUTORS, INC.
April 13, 2004 - May 22, 2007
LINCOLN FINANCIAL DISTRIBUTORS, INC.
April 19, 2001 - January 30, 2003
SAGE DISTRIBUTORS, INC.
September 1, 1997 - February 15, 2001
EQUITABLE DISTRIBUTORS, LLC
July 2, 1996 - August 14, 1997
FORTH FINANCIAL SECURITIES, CORPORATION
September 30, 1993 - July 25, 1996
GLOBAL CAPITAL SECURITIES CORPORATION
December 13, 1985 - October 5, 1993
TRANSAMERICA FUND DISTRIBUTORS, INC.
August 24, 1983 - September 16, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
