Troy A. Nickerson
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.
Troy Adam Nickerson was a registered financial professional .
Troy is a previously registered financial professional and started their career in finance in 1990. Troy had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 55 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
June 6, 2019 - September 19, 2022
PRUCO SECURITIES, LLC.
March 7, 2018 - September 19, 2022
PRUCO SECURITIES, LLC.
February 1, 2016 - August 11, 2016
PRUCO SECURITIES, LLC.
July 1, 2009 - December 2, 2013
G-2 TRADING,LLC
January 14, 2009 - June 12, 2009
ESPOSITO SECURITIES, LLC
May 1, 2006 - December 12, 2008
G-2 TRADING,LLC
April 21, 2004 - March 9, 2005
PIPER SANDLER & CO.
October 1, 2002 - January 22, 2004
SOUNDVIEW TECHNOLOGY CORPORATION
September 1, 1998 - July 29, 2002
ROBERTSON STEPHENS, INC.
October 27, 1997 - September 1, 1998
BANCAMERICA SECURITIES, INC.
June 3, 1996 - October 27, 1997
HAMBRECHT & QUIST LLC
October 11, 1992 - May 21, 1996
AMERIPRISE ADVISOR SERVICES, INC.
May 20, 1992 - September 15, 1992
GRUNTAL & CO., L.L.C.
May 23, 1991 - May 20, 1992
MORGAN STANLEY DW INC.
January 23, 1991 - June 10, 1991
LEHMAN BROTHERS INC.
November 19, 1990 - January 24, 1991
J.P. MORGAN SECURITIES LLC
June 12, 1990 - November 9, 1990
MORGAN STANLEY DW 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 55
Date: 2/1/2000
Limited Representative-Equity Trader ExamCurrent 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.
