Ante P. Feric
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.
Ante P Feric, who also goes by Ante Pavle Feric, Ante Feric, was a registered financial professional .
Ante is a previously registered financial professional and started their career in finance in 1985. Ante had worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 3 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
September 22, 2022 - April 4, 2024
PRUCO SECURITIES, LLC.
September 21, 2022 - April 4, 2024
PRUCO SECURITIES, LLC.
September 27, 2017 - April 20, 2021
J.P. MORGAN SECURITIES LLC
September 27, 2017 - April 20, 2021
J.P. MORGAN SECURITIES LLC
August 17, 2010 - September 26, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 16, 2010 - September 26, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 2, 2008 - July 20, 2010
WELLS FARGO INVESTMENTS, LLC
November 26, 2008 - July 20, 2010
WELLS FARGO INVESTMENTS, LLC
June 6, 2008 - September 3, 2008
COUNTRYWIDE INVESTMENT SERVICES, INC.
June 5, 2008 - September 3, 2008
COUNTRYWIDE INVESTMENT SERVICES, INC.
May 5, 2006 - June 5, 2008
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 3, 2006 - June 5, 2008
TD AMERITRADE, INC.
May 3, 2006 - June 5, 2008
TD AMERITRADE, INC.
November 5, 2002 - March 31, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 25, 1999 - March 31, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 9, 1999 - February 17, 2000
CITICORP INVESTMENT SERVICES
October 21, 1997 - May 29, 1998
CITICORP INVESTMENT SERVICES
May 10, 1995 - November 17, 1995
ALLFIRST BROKERAGE CORPORATION
November 10, 1994 - April 12, 1995
CHEVY CHASE FINANCIAL SERVICES
July 3, 1990 - November 21, 1994
COMPREHENSIVE FINANCIAL SERVICES, INC.
May 7, 1990 - July 5, 1990
TRUSTBANK SECURITIES BROKERAGE, INC.
May 1, 1986 - June 6, 1990
PRUCO SECURITIES, LLC.
July 23, 1985 - March 20, 1986
NORTH AMERICAN INVESTMENT CORP.
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.
