Paul J. Dibuono
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.
Paul Jude Dibuono, who also goes by Paul J Dibuono, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1988. Paul had worked at 20 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2017 - August 1, 2017
PRUCO SECURITIES, LLC.
April 4, 2016 - August 31, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 1, 2016 - August 31, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 6, 2014 - March 16, 2016
SCOTTRADE, INC.
March 10, 2014 - October 27, 2014
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
February 3, 2014 - October 27, 2014
CAMBRIDGE INVESTMENT RESEARCH, INC.
October 5, 2007 - February 13, 2012
TD AMERITRADE, INC.
October 5, 2007 - February 13, 2012
TD AMERITRADE, INC.
October 4, 2007 - February 13, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
December 12, 2006 - May 14, 2007
CETERA INVESTMENT SERVICES LLC
December 6, 2006 - May 14, 2007
BANCNORTH INVESTMENT GROUP, INC.
January 26, 2004 - December 8, 2006
CETERA ADVISORS LLC
January 9, 2004 - December 8, 2006
CETERA ADVISORS LLC
March 12, 2003 - December 31, 2003
LEGACY ADVISORY SERVICES, INC.
November 21, 2002 - December 31, 2003
LEGACY FINANCIAL SERVICES, INC.
October 28, 2002 - November 20, 2002
IDS LIFE INSURANCE COMPANY
October 28, 2002 - November 20, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
September 6, 2002 - October 15, 2002
QUICK & REILLY, INC.
November 28, 2000 - October 15, 2002
QUICK & REILLY, INC.
April 6, 2000 - September 7, 2000
VESTAX SECURITIES CORPORATION
October 19, 1998 - April 5, 2000
FFP SECURITIES, INC.
October 14, 1997 - October 19, 1998
SII INVESTMENTS, INC.
June 5, 1989 - October 13, 1997
POLARIS FINANCIAL SERVICES, INC.
August 23, 1988 - June 10, 1989
J. T. MORAN & 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.
