Emilio M. Coppola
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.
Emilio Michael Coppola was a registered financial professional .
Emilio is a previously registered financial professional and started their career in finance in 1988. Emilio had worked at 11 firms and has passed the Series 65, Series 63, SIE 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
July 13, 2018 - January 8, 2020
PRUCO SECURITIES, LLC.
July 12, 2018 - January 8, 2020
PRUCO SECURITIES, LLC.
June 30, 2015 - July 2, 2018
BLUESKYE INVESTMENT ADVISERS, LLC
July 8, 2014 - July 16, 2018
GREAT POINT CAPITAL LLC
August 10, 2011 - December 14, 2012
WINDSOR STREET CAPITAL, LP
September 13, 2010 - August 12, 2011
PFS INVESTMENTS INC.
December 7, 2005 - December 31, 2008
PFS INVESTMENTS INC.
June 19, 2002 - December 31, 2003
RESOURCE HORIZONS GROUP LLC
January 6, 1999 - January 9, 2001
CENTENNIAL CAPITAL MANAGEMENT, INC.
April 25, 1996 - January 1, 1999
CENTENNIAL CAPITAL MANAGEMENT, INC.
March 17, 1995 - May 18, 1995
CARTER, TERRY & COMPANY, INC.
June 7, 1994 - August 25, 1994
CARTER, TERRY & COMPANY, INC.
March 31, 1992 - December 9, 1992
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 27, 1990 - March 31, 1992
NATIONSBANC SECURITIES OF GEORGIA, INC.
August 25, 1988 - October 18, 1988
F.N. WOLF & CO., 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.
