Randy W. Feehan
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.
Randy Wade Feehan, who also goes by Randy Feehan, Randy Wade Feehan, was a registered financial professional .
Randy is a previously registered financial professional and started their career in finance in 1992. Randy had worked at 9 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
August 20, 2019 - February 23, 2023
PRUCO SECURITIES, LLC.
August 20, 2019 - February 23, 2023
PRUCO SECURITIES, LLC.
July 18, 2017 - September 10, 2019
VALIC FINANCIAL ADVISORS, INC.
July 18, 2017 - September 10, 2019
VALIC FINANCIAL ADVISORS, INC.
August 5, 2013 - January 11, 2017
VALIC FINANCIAL ADVISORS, INC.
August 5, 2013 - January 11, 2017
VALIC FINANCIAL ADVISORS, INC.
October 17, 2012 - August 6, 2013
COUNTRY CAPITAL MANAGEMENT COMPANY
November 29, 2011 - January 24, 2012
CUNA BROKERAGE SERVICES, INC.
June 22, 2010 - January 24, 2012
CUNA BROKERAGE SERVICES, INC.
September 15, 2009 - June 15, 2010
COUNTRY CAPITAL MANAGEMENT COMPANY
June 1, 2009 - September 14, 2009
VALIC FINANCIAL ADVISORS, INC.
April 9, 2009 - May 28, 2009
EDWARD JONES
November 6, 2008 - February 23, 2009
CETERA FINANCIAL SPECIALISTS LLC
November 20, 2004 - January 26, 2007
METROPOLITAN LIFE INSURANCE COMPANY
November 20, 2004 - January 26, 2007
MSI FINANCIAL SERVICES, INC.
November 17, 2003 - December 3, 2003
M&I FINANCIAL ADVISORS, INC
June 20, 2000 - October 10, 2003
CUNA BROKERAGE SERVICES, INC.
May 21, 1992 - June 12, 2000
METROPOLITAN LIFE INSURANCE COMPANY
May 21, 1992 - June 12, 2000
MSI FINANCIAL SERVICES, 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.
