Philip M. Mecca
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.
Philip Michael Mecca, CFP® was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1986. Philip had worked at 16 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
Start date: 1994
Experience
June 8, 2020 - December 2, 2020
PRUCO SECURITIES, LLC.
June 2, 2020 - December 2, 2020
PRUCO SECURITIES, LLC.
January 7, 2019 - May 29, 2020
ALLSTATE FINANCIAL SERVICES, LLC
July 20, 2018 - December 20, 2018
HORACE MANN INVESTORS, INC.
November 10, 2016 - December 22, 2017
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
December 2, 2015 - October 20, 2016
SENTRY EQUITY SERVICES, INC.
September 18, 2013 - November 25, 2014
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
June 19, 2009 - October 10, 2013
UNITY FINANCIAL LLC
September 5, 2008 - June 11, 2009
AVANTAX ADVISORY SERVICES
August 26, 2008 - June 11, 2009
AVANTAX INVESTMENT SERVICES, INC.
August 1, 2007 - August 1, 2007
WOODBURY FINANCIAL SERVICES, INC.
August 1, 2007 - August 29, 2008
WOODBURY FINANCIAL SERVICES, INC.
May 3, 2005 - August 1, 2007
PACKERLAND BROKERAGE SERVICES, INC.
January 26, 2004 - May 3, 2005
CATHOLIC FINANCIAL SERVICES CORPORATION
March 4, 1998 - June 8, 1999
PRINCIPAL SECURITIES, INC.
March 5, 1996 - March 3, 1998
WALNUT STREET SECURITIES, INC.
November 1, 1994 - January 31, 1996
HARBOUR INVESTMENTS, INC.
May 16, 1986 - November 18, 1987
MML INVESTORS SERVICES, 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.
