Scott L. Milstein
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.
Scott Leslie Milstein, who also goes by Scott Leslie Milstein, Scott Milstein, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1986. Scott had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2017 - January 18, 2018
PRUCO SECURITIES, LLC.
May 30, 2017 - January 18, 2018
PRUCO SECURITIES, LLC.
November 30, 2016 - March 23, 2017
LPL FINANCIAL LLC
November 30, 2016 - March 23, 2017
LPL FINANCIAL LLC
April 27, 2015 - November 30, 2016
CUSO FINANCIAL SERVICES, L.P.
April 27, 2015 - November 30, 2016
CUSO FINANCIAL SERVICES, L.P.
July 16, 2013 - April 22, 2015
LINCOLN INVESTMENT
July 16, 2013 - April 22, 2015
LINCOLN INVESTMENT
January 28, 2013 - July 12, 2013
CUSO FINANCIAL SERVICES, L.P.
January 28, 2013 - July 12, 2013
CUSO FINANCIAL SERVICES, L.P.
May 23, 2012 - January 28, 2013
EQUITABLE ADVISORS, LLC
May 23, 2012 - January 28, 2013
EQUITABLE ADVISORS, LLC
April 30, 2003 - May 24, 2012
VALIC FINANCIAL ADVISORS, INC.
December 19, 2001 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
December 19, 2001 - May 24, 2012
VALIC FINANCIAL ADVISORS, INC.
January 1, 1999 - October 30, 2001
VALIC FINANCIAL ADVISORS, INC.
February 11, 1986 - October 30, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
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.
