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GL

Gregory Lewis

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CRD#: 1354482
GL

Professional summary

Gregory Lewis was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Gregory is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Gregory had worked at 3 firms, which includes PRUCO SECURITIES LLC., SIGNATOR INVESTORS INC., JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Greg Lewis

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
AIF®

Accredited Investment Fiduciary

Experience

Past

September 24, 1993 - December 9, 1999

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

July 12, 1993 - August 3, 1993

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

July 29, 1986 - December 31, 1989

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA
Past

July 29, 1986 - July 9, 1992

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 5181
BOSTON, MA
Past

April 7, 1986 - July 23, 1986

PRUCO SECURITIES, LLC.

BD
CRD#: 5685

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PRUCO SECURITIES, LLC.
PRUCO SECURITIES, LLC.
PRUCO SECURITIES CORPORATION | PRUDENTIAL FINANCIAL PLANNING SERVICES | PRUCO SECURITIES, LLC. | PRUCO SECURITIES, LLC

CRD#: 5685 / SEC#: 801-52208, 8-16402

RIA
Registered Investment Advisory firm - SEC (6/28/1996 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/3/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 4/4/1986
Investment Company Products/Variable Contracts Representative Examination

Current Firm

PRUCO SECURITIES, LLC.
PRUCO SECURITIES, LLC.
PRUCO SECURITIES CORPORATION | PRUDENTIAL FINANCIAL PLANNING SERVICES | PRUCO SECURITIES, LLC. | PRUCO SECURITIES, LLC

CRD#: 5685 / SEC#: 801-52208, 8-16402

RIA
Registered Investment Advisory firm - SEC (6/28/1996 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
751 Broad Street, Newark, NJ 07102-3777
Mailing Address
751 Broad Street, Newark, NJ 07102-3777
Phone number
(973) 802-6000
Established
New Jersey since 09/22/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
387

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

PRUCO SECURITIES, LLC (3/25/2025)

Direct owners and executive officers

NamePositionCRD#
THE PRUDENTIAL INSURANCE COMPANY OF AMERICASOLE MEMBER
FELICIANO, DEXTER MICHAELPRESIDENT5483537
FLORIO, KELLY NICOLEANTI-MONEY LAUNDERING OFFICER6446272
FONTANO, ANTHONY MICHAELELECTED MANAGER6852155
HYNES, PATRICK LIAMCHAIRMAN, ELECTED MANAGER2748918
PATEL, PARANJCHIEF COMPLIANCE OFFICER4235738
SMIT, ROBERT PHILIPCHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, CONTROLLER, PRINCIPAL OPERATIONS OFFICER2332366
THOMSEN, JORDAN KARSTENCHIEF LEGAL OFFICER2821664

Disclosures

Regulatory Event30
Arbitration13
Bond2

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/27/2025
Cover Page
Report
12/22/2023
Cover Page
Report
12/22/2023
Cover Page
Report

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.

Company Information

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

CRD#: 5685

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