Philip A. Colatrino
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.
Philip Anthony Colatrino was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1992. Philip had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 62, 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
October 11, 2016 - August 11, 2017
PRUCO SECURITIES, LLC.
October 21, 2014 - January 17, 2018
PRUCO SECURITIES, LLC.
April 16, 2010 - October 23, 2014
MONEY CONCEPTS CAPITAL CORP
January 6, 2010 - October 23, 2014
MONEY CONCEPTS CAPITAL CORP
March 24, 2004 - December 31, 2009
NEXT FINANCIAL GROUP, INC.
January 23, 2004 - March 2, 2004
INTERVEST INTERNATIONAL EQUITIES CORPORATION
October 3, 2002 - February 6, 2003
STATE FARM VP MANAGEMENT CORP.
January 24, 1996 - August 6, 2002
SII INVESTMENTS, INC.
January 26, 1995 - November 30, 1995
FORESTERS EQUITY SERVICES, INC.
March 4, 1994 - December 31, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 14, 1993 - January 6, 1994
CUNA BROKERAGE SERVICES, INC.
February 1, 1993 - September 7, 1993
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 1, 1992 - December 16, 1992
CARILLON INVESTMENTS, INC.
February 11, 1992 - March 23, 1992
R. D. KUSHNIR & CO.
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
Series 62
Date: 12/2/1996
Corporate Securities Limited Representative ExaminationCurrent 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.
