Andrew G. Silver
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.
Andrew Gary Silver, who also goes by Andrew Gary Silver, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1985. Andrew had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 25, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 13, 2016 - July 14, 2017
PRUCO SECURITIES, LLC.
July 1, 2016 - July 14, 2017
PRUCO SECURITIES, LLC.
February 9, 2015 - May 2, 2016
WELLS FARGO CLEARING SERVICES, LLC
December 15, 2014 - May 2, 2016
WELLS FARGO CLEARING SERVICES, LLC
May 22, 2009 - October 20, 2014
TD PRIME SERVICES LLC
April 19, 2007 - May 26, 2009
RAYMOND C. FORBES & CO., INC.
March 21, 2007 - April 10, 2007
BROWN BROTHERS HARRIMAN & CO.
December 22, 2006 - March 23, 2007
MAVEN SECURITIES, INC.
July 1, 2003 - April 24, 2007
SLL SECURITIES INC
February 1, 2002 - July 7, 2003
KALIN ASSOCIATES, INC.
May 30, 2001 - June 18, 2003
LOMBARDI & CO., INC.
October 1, 2000 - June 21, 2001
SLL SECURITIES INC
July 20, 1989 - May 4, 1990
KAUFMANN, ALSBERG & CO., INC.
December 14, 1988 - April 22, 1989
AG BD LLC
November 19, 1985 - November 28, 1988
L. F. ROTHSCHILD & CO. 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 25
Date: 1/11/2000
NYSE Trading Assistant ExaminationCurrent 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.
