Stephen B. Lackey
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.
Stephen Boswell Lackey, who also goes by Steve Lackey, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1996. Stephen had worked at 13 firms and has passed the Series 65, 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
February 12, 2019 - July 15, 2019
PRUCO SECURITIES, LLC.
February 23, 2017 - March 7, 2019
LPL FINANCIAL LLC
May 14, 2015 - February 23, 2017
PRUCO SECURITIES, LLC.
September 3, 2014 - March 6, 2015
HORNOR, TOWNSEND & KENT, LLC
June 20, 2011 - August 23, 2013
SAYBRUS EQUITY SERVICES, LLC
November 16, 2009 - April 28, 2010
MSI FINANCIAL SERVICES, INC.
March 5, 2009 - July 8, 2009
AMERICAN GENERAL EQUITY SERVICES CORPORATION
July 26, 2006 - February 26, 2008
P.J. ROBB VARIABLE, LLC
June 28, 2005 - July 25, 2006
TOWER SQUARE SECURITIES, INC.
June 21, 2005 - July 25, 2006
TOWER SQUARE SECURITIES, INC.
May 31, 2004 - April 15, 2005
UBS FINANCIAL SERVICES INC.
May 18, 2004 - April 15, 2005
UBS FINANCIAL SERVICES INC.
May 4, 2000 - March 3, 2004
TRUIST INVESTMENT SERVICES, INC.
May 3, 2000 - March 3, 2004
TRUIST INVESTMENT SERVICES, INC.
September 15, 1999 - May 2, 2000
HORNOR, TOWNSEND & KENT, LLC
August 22, 1997 - September 30, 1999
THE LEADERS GROUP, INC.
December 23, 1996 - August 15, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
April 22, 1996 - September 10, 1996
LINCOLN FINANCIAL DISTRIBUTORS, 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.
