Nicholas C. Penland
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.
Nicholas Craig Penland, who also goes by Nick Penland, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1986. Nicholas had worked at 11 firms and has passed the Series 63, SIE 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
January 11, 2017 - July 23, 2018
PRUCO SECURITIES, LLC.
July 1, 2014 - December 9, 2016
PRINCIPAL SECURITIES, INC.
July 1, 2011 - April 4, 2014
NYLIFE SECURITIES LLC
September 27, 2010 - May 31, 2011
SIGNATOR INVESTORS, INC.
April 15, 2009 - December 31, 2009
INSPHERE SECURITIES, INC.
January 18, 2007 - December 31, 2008
THE O.N. EQUITY SALES COMPANY
August 24, 2004 - June 13, 2006
METROPOLITAN LIFE INSURANCE COMPANY
August 24, 2004 - June 13, 2006
MSI FINANCIAL SERVICES, INC.
January 13, 2003 - November 28, 2003
FINANCIAL WEST GROUP
October 24, 2000 - October 2, 2002
ASSOCIATED SECURITIES CORP.
January 26, 1999 - October 17, 2000
MONY SECURITIES CORPORATION
April 1, 1986 - January 4, 1995
PRUCO SECURITIES, LLC.
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.
