Theodore F. Kallina
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.
Theodore Francis Kallina, who also goes by Ted Francis Kallina, Ted Kallina, Theodore Francis Kallina, Therodore Kallina, was a registered financial professional .
Theodore is a previously registered financial professional and started their career in finance in 1994. Theodore had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2022 - March 8, 2023
PRUCO SECURITIES, LLC.
February 17, 2022 - March 8, 2023
PRUCO SECURITIES, LLC.
December 11, 2017 - January 24, 2020
UBS FINANCIAL SERVICES INC.
October 13, 2017 - January 24, 2020
UBS FINANCIAL SERVICES INC.
May 21, 2013 - July 15, 2016
GEORGE K. BAUM & COMPANY
September 15, 2010 - October 3, 2011
COHEN & COMPANY CAPITAL MARKETS, LLC
June 1, 2007 - October 14, 2010
COHEN & COMPANY SECURITIES, LLC
April 30, 2002 - April 17, 2007
ALLY SECURITIES LLC
April 17, 2001 - April 24, 2002
FIS BROKERAGE & SECURITIES SERVICES LLC
November 21, 1994 - December 7, 2000
J.P. MORGAN SECURITIES 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.
