Maximo F. Mata
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.
Maximo Francisco Mata, who also goes by Magana, Max Mata, Maximo F Mata, was a registered financial professional .
Maximo is a previously registered financial professional and started their career in finance in 1988. Maximo had worked at 11 firms and has passed the Series 63, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2007 - November 30, 2016
PRUCO SECURITIES, LLC.
March 25, 2002 - July 16, 2003
FARMERS FINANCIAL SOLUTIONS, LLC
February 11, 2000 - February 20, 2002
CHARTER ONE SECURITIES, INC.
November 29, 1999 - February 15, 2000
INVESTMENT NETWORK, INC.
September 8, 1997 - November 21, 1997
NEW ENGLAND SECURITIES
July 12, 1996 - July 29, 1997
1717 CAPITAL MANAGEMENT COMPANY
April 4, 1996 - July 10, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 4, 1996 - July 10, 1996
SIGNATOR INVESTORS, INC.
October 4, 1994 - March 29, 1996
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 4, 1994 - March 29, 1996
OSAIC FA, INC.
July 21, 1988 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
July 21, 1988 - October 28, 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.
