John A. Lake
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.
John Alex Lake, who also goes by John A Lake, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1993. John had worked at 20 firms and has passed the Series 66, Series 63, Series 7TO, 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
April 26, 2021 - November 24, 2021
PRUCO SECURITIES, LLC.
April 18, 2018 - April 28, 2021
PRUDENTIAL SELECT STRATEGIES LLC
April 18, 2018 - November 24, 2021
PRUCO SECURITIES, LLC.
November 29, 2017 - April 2, 2018
LPL FINANCIAL LLC
November 29, 2017 - April 2, 2018
LPL FINANCIAL LLC
June 24, 2016 - November 29, 2017
NATIONAL PLANNING CORPORATION
June 24, 2016 - November 29, 2017
NATIONAL PLANNING CORPORATION
February 18, 2014 - July 9, 2014
AMERICAN INVESTORS GROUP, INC.
February 14, 2014 - July 9, 2014
AMERICAN INVESTORS GROUP, INC.
May 17, 2011 - July 31, 2012
LWI FINANCIAL INC.
May 17, 2011 - July 31, 2012
LORING WARD SECURITIES INC.
April 15, 2010 - April 19, 2011
PERSHING LLC
January 15, 2009 - April 19, 2011
BNY ADVISORS
March 12, 2008 - April 1, 2010
BNY MELLON SECURITIES CORPORATION
February 26, 2008 - April 5, 2010
LOCKWOOD FINANCIAL SERVICES, INC.
November 15, 2007 - March 13, 2008
PERSHING LLC
March 20, 2007 - April 20, 2007
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
September 7, 2004 - January 31, 2006
BOFA DISTRIBUTORS, INC.
March 17, 2004 - September 7, 2004
IDS LIFE INSURANCE COMPANY
March 17, 2004 - September 7, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
July 29, 1998 - March 17, 2004
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
February 3, 1998 - August 7, 1998
CHARLES SCHWAB & CO., INC.
May 9, 1995 - December 11, 1997
ZIEGLER THRIFT TRADING, INC.
February 13, 1995 - April 18, 1995
TCF INVESTMENTS, INC.
November 2, 1993 - December 31, 1994
DAIN RAUSCHER INCORPORATED
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 7TO
Date: 3/28/2024
General Securities Representative ExaminationCurrent 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.
