Daniel M. Marcucci
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.
Daniel Matthew Marcucci, who also goes by Daniel M Marcucci, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1992. Daniel had worked at 9 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
November 8, 2013 - October 6, 2014
PRUCO SECURITIES, LLC.
October 11, 2011 - October 3, 2012
LPL FINANCIAL LLC
October 11, 2011 - October 3, 2012
LPL FINANCIAL LLC
January 3, 2011 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
May 4, 2010 - December 31, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
May 4, 2010 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
May 25, 2009 - February 4, 2010
CHASE INVESTMENT SERVICES CORP.
November 20, 2008 - February 4, 2010
CHASE INVESTMENT SERVICES CORP.
April 27, 2001 - September 11, 2008
GUARDIAN INVESTOR SERVICES LLC
May 13, 1999 - May 1, 2001
PARK AVENUE SECURITIES LLC
May 23, 1997 - August 24, 1998
UAM FUND DISTRIBUTORS, INC.
August 10, 1993 - March 26, 1997
LORD ABBETT DISTRIBUTOR LLC
October 11, 1992 - January 25, 1993
CIBC WORLD MARKETS CORP.
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.
