Kim Cashman
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.
Kim Cashman, who also goes by Kim Cashmanweinstein, Kim Cashman Weinstein, Kim Weinstein, was a registered financial professional .
Kim is a previously registered financial professional and started their career in finance in 1984. Kim had worked at 12 firms and has passed the Series 63, Series 7, Series 6, Series 5, Series 15, Series 3 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
April 6, 2010 - March 6, 2014
PRUCO SECURITIES, LLC.
June 1, 2009 - September 16, 2009
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
January 5, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
October 26, 2001 - February 18, 2005
NATIONWIDE INVESTMENT SERVICES CORPORATION
May 4, 1998 - November 20, 2000
WOODBURY FINANCIAL SERVICES, INC.
December 8, 1995 - February 17, 1998
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
July 22, 1994 - June 22, 1995
CHEMICAL INVESTMENT SERVICES CORP.
November 13, 1993 - August 1, 1994
IFMG SECURITIES, INC.
September 25, 1993 - November 2, 1993
ESSEX NATIONAL SECURITIES, LLC
April 10, 1991 - June 22, 1992
LINCOLN FINANCIAL DISTRIBUTORS, INC.
May 16, 1984 - July 10, 1985
THOMSON MCKINNON SECURITIES 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
Series 5
Date: 7/9/1984
Interest Rate Options ExaminationSeries 15
Date: 6/12/1984
Foreign Currency Options 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.
