R J. Kuznitz
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.
R James Kuznitz, who also goes by James Robert Kuznitz, R. James Kuznitz, was a registered financial professional .
R is a previously registered financial professional and started their career in finance in 1984. R had worked at 7 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2018 - January 4, 2023
PRUCO SECURITIES, LLC.
October 9, 2017 - January 4, 2023
PRUCO SECURITIES, LLC.
October 23, 2013 - September 28, 2017
EQUITABLE ADVISORS, LLC
October 23, 2013 - September 28, 2017
EQUITABLE ADVISORS, LLC
January 20, 2012 - October 24, 2013
SIGNATOR INVESTORS, INC.
November 4, 2011 - October 24, 2013
SIGNATOR INVESTORS, INC.
February 18, 2010 - December 31, 2010
VOYA FINANCIAL ADVISORS, INC.
January 26, 2007 - December 31, 2010
VOYA FINANCIAL ADVISORS, INC.
October 27, 2006 - December 31, 2006
VOYA FINANCIAL ADVISORS, INC.
September 15, 2003 - June 30, 2004
MML INVESTORS SERVICES, LLC
August 19, 1987 - May 11, 1988
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
May 8, 1987 - July 25, 1987
MML INVESTORS SERVICES, LLC
May 8, 1987 - August 11, 1987
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
January 20, 1984 - April 13, 1987
MUTUAL OF OMAHA INVESTOR SERVICES, 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.
