Robert H. Hoopengarner
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.
Robert Hersh Hoopengarner, who also goes by Rob Hoopengarner, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1986. Robert had worked at 15 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2014 - March 10, 2015
PRUCO SECURITIES, LLC.
January 3, 2013 - September 26, 2013
PRUCO SECURITIES, LLC.
June 4, 2012 - January 3, 2013
HIMCO DISTRIBUTION SERVICES COMPANY
April 5, 2011 - March 1, 2012
CROWN CAPITAL SECURITIES, L.P.
June 18, 2010 - November 3, 2010
VOYA FINANCIAL ADVISORS, INC.
May 2, 2008 - June 18, 2010
CINCINNATI ANALYSTS, INC.
September 21, 2007 - April 16, 2008
AMERICAN GENERAL EQUITY SERVICES CORPORATION
April 1, 2006 - August 14, 2006
METLIFE INVESTORS DISTRIBUTION COMPANY
January 27, 2004 - April 1, 2006
TOWER SQUARE SECURITIES, INC.
May 7, 2003 - October 24, 2003
WALNUT STREET SECURITIES, INC.
March 20, 2002 - March 28, 2003
METLIFE INVESTORS DISTRIBUTION COMPANY
December 11, 1996 - February 20, 2002
LOCUST STREET SECURITIES, INC.
January 31, 1995 - December 10, 1996
WALNUT STREET SECURITIES, INC.
July 31, 1991 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
July 31, 1991 - February 15, 1995
PRUCO SECURITIES, LLC.
March 20, 1990 - July 5, 1991
JOHN HANCOCK DISTRIBUTORS LLC
February 7, 1990 - July 18, 1991
DOLPHIN SECURITIES, INC.
August 7, 1989 - February 15, 1990
JRL CAPITAL CORPORATION
August 9, 1988 - July 5, 1989
GLOBALVEST SECURITIES, (USA), INC
November 21, 1986 - August 15, 1988
JOHN HANCOCK DISTRIBUTORS 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.
