Gerald W. Werlau
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.
Gerald William Werlau, who also goes by Gerald Werlau, was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1986. Gerald had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2020 - December 12, 2022
PRUCO SECURITIES, LLC.
May 12, 2020 - December 12, 2022
PRUCO SECURITIES, LLC.
August 25, 2010 - November 15, 2019
WADDELL & REED
August 25, 2010 - November 15, 2019
WADDELL & REED
January 5, 2010 - May 13, 2010
EDWARD JONES
December 18, 2009 - May 13, 2010
EDWARD JONES
April 27, 2004 - October 13, 2008
CAPITAL ONE INVESTMENT SERVICES LLC
December 9, 2003 - January 6, 2004
GREENPOINT SECURITIES LLC
March 31, 1997 - January 5, 2004
ESSEX NATIONAL SECURITIES, LLC
October 31, 1996 - March 24, 1997
INDEPENDENT FINANCIAL SECURITIES, INC.
February 29, 1996 - October 8, 1996
IFMG SECURITIES, INC.
February 28, 1996 - October 8, 1996
IFMG SECURITIES, INC.
April 27, 1995 - December 31, 1995
FORESIDE FUNDS DISTRIBUTORS LLC
June 7, 1993 - February 29, 1996
FIS SECURITIES, INC.
February 7, 1992 - June 1, 1993
VERAVEST INVESTMENTS, INC.
March 14, 1988 - June 14, 1990
MARKETING ONE SECURITIES, INC.
December 22, 1986 - December 15, 1987
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.
