Thomas H. Stires
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.
Thomas Homer Stires, who also goes by Tom Stires, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1988. Thomas had worked at 12 firms and has passed the Series 63, SIE, Series 55, 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
July 10, 2015 - June 6, 2016
PRUCO SECURITIES, LLC.
May 18, 2012 - October 25, 2013
FATOR SECURITIES LLC
February 22, 2011 - November 9, 2011
COWEN SECURITIES LLC
December 3, 2010 - February 1, 2011
TD ARRANGED SERVICES LLC
February 24, 2006 - December 9, 2010
LABRANCHE FINANCIAL SERVICES, LLC
September 11, 2002 - August 24, 2004
CIC MARKET SOLUTIONS, INC.
July 23, 1997 - March 4, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 17, 1996 - April 15, 1997
COMMERZ MARKETS LLC
November 3, 1995 - December 17, 1996
KLEINWORT BENSON NORTH AMERICA INC.
June 2, 1993 - April 17, 1996
INTERACCIONES GLOBAL INC.
August 20, 1991 - May 4, 1993
VALORES FINAMEX INTERNATIONAL, INC.
October 19, 1988 - May 21, 1991
BARCLAYS DE ZOETE WEDD INCORPORATED
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
Series 55
Date: 2/8/1999
Limited Representative-Equity Trader ExamCurrent 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.
