Eric R. Waller
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.
Eric Robert Waller was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1986. Eric had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2017 - January 15, 2020
PRUCO SECURITIES, LLC.
December 22, 2014 - November 8, 2016
OSAIC WEALTH, INC.
December 22, 2014 - November 8, 2016
WOODBURY FINANCIAL SERVICES, INC.
December 22, 2014 - November 8, 2016
OSAIC SERVICES, INC.
December 22, 2014 - November 8, 2016
OSAIC WEALTH, INC.
December 22, 2014 - November 8, 2016
FSC SECURITIES CORPORATION
November 17, 2010 - September 5, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 26, 2010 - October 25, 2010
HIMCO DISTRIBUTION SERVICES COMPANY
December 8, 2005 - September 21, 2009
GLOBAL ATLANTIC DISTRIBUTORS, LLC
October 19, 2005 - December 15, 2005
ON INVESTMENT MANAGEMENT CO
October 14, 2005 - December 15, 2005
THE O.N. EQUITY SALES COMPANY
May 19, 2005 - October 5, 2005
PARK AVENUE SECURITIES LLC
April 9, 2005 - October 5, 2005
PARK AVENUE SECURITIES LLC
March 9, 2004 - May 24, 2004
MML INVESTORS SERVICES, LLC
March 26, 2003 - January 30, 2004
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
October 14, 2002 - February 6, 2003
SUNAMERICA SECURITIES, INC.
August 7, 2001 - September 23, 2002
FORESTERS EQUITY SERVICES, INC.
March 10, 1998 - August 10, 2001
NATIONWIDE SECURITIES, LLC
August 5, 1996 - December 31, 1997
WOODBURY FINANCIAL SERVICES, INC.
October 26, 1994 - December 31, 1995
WOODBURY FINANCIAL SERVICES, INC.
August 15, 1986 - September 15, 1994
GUARDIAN INVESTOR 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.
