Bobby W. Barrineau
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.
Bobby Wayne Barrineau was a registered financial professional .
Bobby is a previously registered financial professional and started their career in finance in 1985. Bobby had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9, Series 53, Series 4 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
February 21, 2017 - June 1, 2017
PRUCO SECURITIES, LLC.
December 7, 2016 - June 1, 2017
PRUCO SECURITIES, LLC.
October 21, 2014 - March 10, 2016
FIRST CITIZENS INVESTOR SERVICES, INC.
October 20, 2014 - March 10, 2016
FIRST CITIZENS INVESTOR SERVICES, INC.
August 23, 2013 - October 10, 2014
SANDLAPPER WEALTH MANAGEMENT, LLC
August 19, 2013 - September 29, 2014
SANDLAPPER SECURITIES, LLC
April 24, 2002 - December 31, 2011
RAYMOND JAMES & ASSOCIATES, INC.
March 22, 2002 - December 31, 2011
RAYMOND JAMES & ASSOCIATES, INC.
September 1, 2000 - April 11, 2002
WACHOVIA SECURITIES, INC.
January 1, 1998 - September 7, 2000
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 7, 1993 - January 1, 1998
NATIONSSECURITIES
May 1, 1987 - June 7, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 29, 1986 - May 1, 1987
NCNB SC SECURITIES, INC.
May 23, 1985 - May 6, 1986
CITIGROUP GLOBAL MARKETS 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
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.
