Matthew C. Keating
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.
Matthew Cornell Keating, who also goes by Matt Keating, Matthew Keating, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1987. Matthew had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 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
February 13, 2019 - December 23, 2019
PRUCO SECURITIES, LLC.
November 29, 2018 - December 23, 2019
PRUCO SECURITIES, LLC.
May 30, 2018 - August 30, 2018
EQUITABLE ADVISORS, LLC
February 7, 2018 - August 30, 2018
EQUITABLE ADVISORS, LLC
June 2, 2014 - July 29, 2016
RS FUNDS DISTRIBUTOR LLC
October 12, 2010 - June 2, 2014
GUARDIAN INVESTOR SERVICES LLC
June 15, 2007 - March 27, 2008
GLOBAL ATLANTIC DISTRIBUTORS, LLC
September 5, 2000 - August 23, 2006
GLOBAL ATLANTIC DISTRIBUTORS, LLC
August 2, 1993 - August 4, 2000
HIMCO DISTRIBUTION SERVICES COMPANY
July 31, 1990 - October 5, 1992
F & G SECURITIES, INC.
December 7, 1987 - July 27, 1990
SIGNATOR INVESTORS, INC.
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.
