Donald L. Klosterman
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.
Donald Louis Klosterman, who also goes by Donald Klosterman, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1989. Donald had worked at 10 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
May 10, 2017 - January 3, 2020
PRUCO SECURITIES, LLC.
April 24, 2017 - January 3, 2020
PRUCO SECURITIES, LLC.
July 2, 2009 - April 25, 2017
ONEAMERICA SECURITIES, INC.
May 22, 2009 - April 25, 2017
ONEAMERICA SECURITIES, INC.
August 24, 2006 - March 4, 2009
ONEAMERICA SECURITIES, INC.
July 14, 2006 - March 4, 2009
ONEAMERICA SECURITIES, INC.
January 24, 2005 - June 23, 2006
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
December 9, 2004 - January 12, 2005
EQUITABLE ADVISORS, LLC
October 2, 2003 - September 30, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
September 24, 2003 - September 30, 2004
IDS LIFE INSURANCE COMPANY
September 24, 2003 - September 30, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
February 2, 2002 - August 26, 2003
LOCUST STREET SECURITIES, INC.
February 5, 1998 - August 26, 2003
LOCUST STREET SECURITIES, INC.
October 20, 1995 - December 24, 1997
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 20, 1995 - December 24, 1997
OSAIC FA, INC.
February 14, 1989 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
February 14, 1989 - October 6, 1995
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.
