RM
Richard L. Mohagen
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CRD#: 1670963
RM
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.
Richard Leroy Mohagen JR, who also goes by Richard Leroy (jr) Mohagen, Rick Mohagen Jr, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 1 firm and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Richard Leroy (jr) Mohagen | Rick Mohagen Jr
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Aetna/Coventry|AIG Life Ins Co|Amer Family Life Assur Co|American Network Ins Co|Assurity Life Ins Co|BCBSM|Berkshire Life Ins Co|Blue Plus|Delta Dental|First Health Life &Health Ins Co|Guardian Annuity & Ins Co|Guardian Life Ins Co|Hartford Life & Accident Ins Co|Hartford Life & Annuity Ins Co|Hartford Life Ins Co|Humana Ins Co|Illinois Mutual Life Ins Co|Inc.|Medica Health Plan|Medica Ins Co|Metropolitan Life Ins Co|MII Life|MONY Life Ins Co of America|OneAmerica/State Life Ins Co|Paul Revere Life Ins Co|Preferred One|Provident Life & Accident Ins Co|Reliance Standard Life Ins|Reserve Nat'l Ins Co. / Kemper Life & Health Co of America|USABLE Life|Voya Fin'l EXECUTOR FOR KAREN J. MOHAGEN, MY SPOUSE. POSITION: Personal Representative/Executor of the estate of Karen J. Mohagen NATURE: Fiduciary Appointment (e.g., Trustee, Executor, POA) INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2018 ADDRESS: 513 N 9th St., Montevideo MN 56265, United States DESCRIPTION: None currently. Will settle estate if or when she dies before me.Co|Silverscript|Standard Security Life Ins Co of NY|Sun Life|Union Security/Assurant|United Healthcare|UNUM Life Ins POWER OF ATTORNEY FOR PARENTS. POSITION: Power of Attorney NATURE: Fiduciary Appointment (e.g., Trustee, Executor, POA) INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/15/2019 ADDRESS: 513 N 9th St, Montevideo MN 56265, United States DESCRIPTION: Typical POA duties. At present, there are none immediately expected. In the future they would be as needed for long term care purposes. OUTSTATE BREWING COMPANY, LLC POSITION: none NATURE: Craft brewery INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/05/2018 ADDRESS: 130 S Vine St, Fergus Falls MN 56537, United States DESCRIPTION: none
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
December 3, 2013 - September 12, 2022
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
MONTEVIDEO, MN
Past
May 28, 1987 - September 12, 2022
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
MONTEVIDEO, MN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PRUCO SECURITIES, LLC.
PRUCO SECURITIES CORPORATION | PRUDENTIAL FINANCIAL PLANNING SERVICES | PRUCO SECURITIES, LLC. | PRUCO SECURITIES, LLC
CRD#: 5685 / SEC#: 801-52208, 8-16402
RIA
Registered Investment Advisory firm - SEC (6/28/1996 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
PRUCO SECURITIES, LLC.
PRUCO SECURITIES CORPORATION | PRUDENTIAL FINANCIAL PLANNING SERVICES | PRUCO SECURITIES, LLC. | PRUCO SECURITIES, LLC
CRD#: 5685 / SEC#: 801-52208, 8-16402
RIA
Registered Investment Advisory firm - SEC (6/28/1996 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
751 Broad Street, Newark, NJ 07102-3777
Mailing Address
751 Broad Street, Newark, NJ 07102-3777
Phone number
(973) 802-6000
Established
New Jersey since 09/22/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
387
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.
