Kevin Johnson
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.
Kevin Johnson, who also goes by Kevin Robert Johnson, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1988. Kevin had worked at 15 firms and has passed the Series 63, Series 65, Series 7TO, 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
May 29, 2019 - November 25, 2020
PRUCO SECURITIES, LLC.
December 16, 2016 - March 17, 2017
DAVID LERNER ASSOCIATES, INC.
August 13, 2007 - May 17, 2011
CHARLES SCHWAB & CO., INC.
August 9, 2007 - May 17, 2011
CHARLES SCHWAB & CO., INC.
November 13, 2006 - May 7, 2007
AMERIPRISE ADVISOR SERVICES, INC.
November 13, 2006 - May 7, 2007
AMERIPRISE ADVISOR SERVICES, INC.
August 16, 2006 - November 3, 2006
CHASE INVESTMENT SERVICES CORP.
March 28, 2006 - November 3, 2006
CHASE INVESTMENT SERVICES CORP.
September 2, 2004 - January 6, 2005
CHASE INVESTMENT SERVICES CORP.
September 25, 2000 - May 29, 2003
QUICK & REILLY, INC.
July 8, 1999 - July 6, 2000
NEBRASKA HUDSON COMPANY, INC.
June 20, 1997 - July 17, 1997
MAIDSTONE FINANCIAL, INC.
July 10, 1996 - January 24, 1997
TD AMERITRADE, INC.
September 5, 1995 - May 10, 1996
ALL-TECH DIRECT, INC.
June 6, 1995 - September 7, 1995
AMERICORP SECURITIES, INC.
April 3, 1995 - June 16, 1995
PACIFIC CORTEZ SECURITIES INCORPORATED
January 5, 1995 - March 28, 1995
INVESTORS ASSOCIATES, INC.
August 22, 1994 - December 23, 1994
CHATFIELD DEAN & CO., INC.
August 8, 1988 - April 22, 1989
FORESTERS FINANCIAL SERVICES, 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
Series 7TO
Date: 11/21/2023
General Securities Representative ExaminationCurrent 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.
