James M. Virgo
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 Morgan Virgo, who also goes by Jim VIrgo, James M Virgo, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1994. James had worked at 10 firms and has passed the Series 65, 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
May 19, 2022 - June 29, 2023
PRUCO SECURITIES, LLC.
May 18, 2022 - June 29, 2023
PRUCO SECURITIES, LLC.
October 9, 2020 - October 30, 2020
NYLIFE SECURITIES LLC
June 2, 2020 - June 17, 2020
CUSO FINANCIAL SERVICES, L.P.
June 1, 2020 - June 17, 2020
CUSO FINANCIAL SERVICES, L.P.
June 14, 2017 - December 31, 2019
CETERA INVESTMENT ADVISERS LLC
July 8, 2015 - December 31, 2019
CETERA INVESTMENT SERVICES LLC
October 14, 2011 - March 26, 2015
ALLSTATE FINANCIAL SERVICES, LLC
March 22, 2005 - December 31, 2009
CENTAURUS FINANCIAL, INC.
August 18, 1999 - October 3, 2011
CENTAURUS FINANCIAL, INC.
February 15, 1996 - August 24, 1999
LIFEMARK SECURITIES CORP.
November 7, 1994 - December 31, 1997
CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.
October 10, 1994 - December 31, 1995
CADARET, GRANT & CO., 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.
