Marc J. Levy
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.
Marc Jason Levy was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1987. Marc had worked at 15 firms and has passed the Series 63 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 4, 2013 - August 19, 2014
PRUCO SECURITIES, LLC.
March 19, 2012 - January 2, 2013
HIMCO DISTRIBUTION SERVICES COMPANY
May 8, 2008 - September 25, 2008
PRINCIPAL FUNDS DISTRIBUTOR, INC.
October 25, 2007 - May 20, 2010
PRINCIPAL SECURITIES, INC.
March 17, 2005 - November 10, 2005
VOYA FINANCIAL ADVISORS, INC.
August 3, 2004 - September 10, 2004
THE LEADERS GROUP, INC.
December 17, 2003 - July 12, 2004
OSAIC FS, INC.
September 12, 2003 - December 19, 2003
MUTUAL SERVICE CORPORATION
March 19, 2003 - September 11, 2003
ARGENTUS SECURITIES, LLC
January 8, 2003 - March 21, 2003
SLD AMERICA EQUITIES, INC.
December 17, 2001 - December 31, 2002
CETERA ADVISORS LLC
July 24, 2001 - November 26, 2001
SLD AMERICA EQUITIES, INC.
June 1, 1998 - July 24, 2001
L.M. KOHN & COMPANY
April 1, 1996 - January 30, 1998
JOHN HANCOCK DISTRIBUTORS LLC
July 11, 1994 - February 16, 1996
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 11, 1994 - February 16, 1996
OSAIC FA, INC.
April 28, 1987 - August 4, 1994
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.
