Michael A. Valinotti
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.
Michael Anthony Valinotti, who also goes by Michael A Valinotti, Michael Valinotti, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1995. Michael had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24, Series 10, Series 9 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2019 - August 7, 2019
PRUCO SECURITIES, LLC.
October 30, 2018 - August 7, 2019
PRUCO SECURITIES, LLC.
February 17, 2017 - October 23, 2018
EQUITY SERVICES, INC.
February 16, 2017 - October 23, 2018
EQUITY SERVICES, INC.
January 6, 2009 - July 1, 2016
HSBC SECURITIES (USA) INC.
January 1, 2005 - July 1, 2016
HSBC SECURITIES (USA) INC.
June 19, 2000 - January 1, 2005
HSBC BROKERAGE (USA) INC.
July 7, 1999 - June 19, 2000
REPUBLIC FINANCIAL SERVICES CORPORATION
September 15, 1995 - July 6, 1999
METROPOLITAN LIFE INSURANCE COMPANY
September 15, 1995 - July 6, 1999
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.
