Harry J. Escobar
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.
Harry Joseph Escobar was a registered financial professional .
Harry is a previously registered financial professional and started their career in finance in 1985. Harry had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 8 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
March 20, 2012 - September 9, 2014
PRUCO SECURITIES, LLC.
March 8, 2012 - September 9, 2014
PRUCO SECURITIES, LLC.
August 8, 2011 - October 10, 2011
CYGNI SECURITIES, LLC
January 10, 2007 - April 8, 2011
CREDIT SUISSE SECURITIES (USA) LLC
January 10, 2007 - April 8, 2011
CREDIT SUISSE SECURITIES (USA) LLC
March 7, 2003 - January 17, 2007
UBS FINANCIAL SERVICES INC.
March 7, 2003 - January 17, 2007
UBS FINANCIAL SERVICES INC.
May 10, 2001 - February 5, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 18, 1998 - December 14, 2000
FAM DISTRIBUTORS, INC.
October 22, 1991 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
October 22, 1991 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
October 22, 1991 - August 10, 1998
LEHMAN BROTHERS INC.
December 17, 1985 - October 24, 1991
CITICORP SECURITIES, 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
Series 8
Date: 9/29/1995
General Securities Sales Supervisor Examination (Options Module & General Module)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.
