James J. Teefy
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.
James Joseph Teefy, who also goes by James Joseph Teefy, Jay Teefy, James Teefy, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 13 firms and has passed the Series 63, Series 65, 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
June 15, 2018 - December 12, 2022
PRUCO SECURITIES, LLC.
March 28, 2018 - December 12, 2022
PRUCO SECURITIES, LLC.
January 21, 2016 - April 11, 2016
SECURIAN FINANCIAL SERVICES, INC.
September 2, 2015 - October 9, 2015
CHARLES SCHWAB & CO., INC.
September 2, 2015 - October 9, 2015
CHARLES SCHWAB & CO., INC.
June 12, 2012 - August 24, 2015
LINCOLN INVESTMENT
May 16, 2012 - August 24, 2015
LINCOLN INVESTMENT
August 12, 2010 - November 5, 2010
SECURIAN FINANCIAL SERVICES, INC.
December 9, 2004 - July 20, 2010
GRANT WILLIAMS L.P.
December 16, 2003 - March 15, 2004
GRANT WILLIAMS L.P.
July 9, 2002 - October 16, 2003
SIMCO
February 7, 2000 - March 22, 2001
BEDMINSTER FINANCIAL GROUP, LIMITED
September 16, 1999 - October 27, 1999
VALIC FINANCIAL ADVISORS, INC.
September 16, 1999 - October 27, 1999
THE VARIABLE ANNUITY MARKETING COMPANY
February 27, 1998 - September 2, 1999
A. G. EDWARDS & SONS, INC.
August 12, 1996 - February 25, 1998
VALLEY FORGE SECURITIES, INC .
June 26, 1995 - April 18, 1996
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
March 22, 1994 - June 7, 1995
SECURITIES SERVICE NETWORK, 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.
