Mauro V. Malafronte
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.
Mauro Victor Malafronte, who also goes by Marty VIctor Malafronte, was a registered financial professional .
Mauro is a previously registered financial professional and started their career in finance in 1984. Mauro had worked at 11 firms and has passed the 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
May 19, 2011 - February 25, 2020
PRUCO SECURITIES, LLC.
October 16, 2009 - September 28, 2010
LIFEMARK SECURITIES CORP.
August 28, 2009 - September 28, 2010
LIFEMARK SECURITIES CORP.
November 5, 1996 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 5, 1996 - May 9, 2008
EQUITABLE ADVISORS, LLC
August 9, 1994 - June 5, 1995
MIDAS SECURITIES GROUP, INC.
February 6, 1992 - April 1, 1994
SHEFFIELD INVESTMENTS, INC.
July 29, 1987 - March 10, 1992
BNY MELLON SECURITIES CORPORATION
May 1, 1985 - October 10, 1985
PRUDENTIAL EQUITY GROUP, LLC
February 19, 1985 - April 10, 1985
BEVILL, BRESLER & SCHULMAN INCORPORATED
October 11, 1984 - February 25, 1985
DONALD SHELDON & CO., INC.
June 20, 1984 - September 28, 1984
J.P. MORGAN 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.
