Jeffrey S. Hoppenworth
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.
Jeffrey Scott Hoppenworth was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 2000. Jeffrey had worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2016 - January 16, 2020
PRUCO SECURITIES, LLC.
January 25, 2016 - January 16, 2020
PRUCO SECURITIES, LLC.
February 18, 2015 - December 31, 2015
ALLSTATE FINANCIAL ADVISORS, LLC
February 18, 2015 - December 31, 2015
ALLSTATE FINANCIAL SERVICES, LLC
May 16, 2013 - December 24, 2013
NEW ENGLAND SECURITIES
May 16, 2013 - December 24, 2013
NEW ENGLAND SECURITIES
December 1, 2011 - May 14, 2013
PRINCIPAL SECURITIES, INC.
July 29, 2011 - May 14, 2013
PRINCIPAL SECURITIES, INC.
June 29, 2009 - March 25, 2011
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 23, 2009 - March 25, 2011
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
December 4, 2006 - July 13, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 22, 2006 - July 13, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 10, 2001 - April 30, 2007
NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY
June 28, 2000 - June 8, 2001
PIPER SANDLER & 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
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.
