Mark Mccullough
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.
Mark Mccullough, who also goes by Mark P. Mccullough, Mark Patrick Mccullough, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1986. Mark had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2015 - December 28, 2015
PRUCO SECURITIES, LLC.
April 9, 2014 - March 24, 2015
EAGLE STRATEGIES LLC
February 7, 2014 - March 24, 2015
NYLIFE SECURITIES LLC
July 22, 2010 - January 2, 2014
PRUCO SECURITIES, LLC.
July 8, 2010 - January 2, 2014
PRUCO SECURITIES, LLC.
January 9, 2006 - July 12, 2010
MSI FINANCIAL SERVICES, INC.
July 19, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
July 21, 1997 - December 31, 2004
CADARET, GRANT & CO., INC.
October 10, 1988 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
October 10, 1988 - August 8, 1997
PRUCO SECURITIES, LLC.
May 9, 1988 - September 28, 1988
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
May 9, 1988 - September 28, 1988
SIGNATOR INVESTORS, INC.
August 25, 1986 - August 8, 1997
PRUCO SECURITIES, 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.
