Jeffrey W. Evans
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.
Jeffrey Wade Evans, who also goes by Jeff Evans, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1996. Jeffrey had worked at 9 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2018 - July 23, 2019
PRUCO SECURITIES, LLC.
March 23, 2018 - July 23, 2019
PRUCO SECURITIES, LLC.
February 27, 2017 - March 19, 2018
CUSO FINANCIAL SERVICES, L.P.
February 27, 2017 - March 19, 2018
CUSO FINANCIAL SERVICES, L.P.
July 25, 2013 - August 11, 2016
MORGAN STANLEY
June 27, 2013 - August 11, 2016
MORGAN STANLEY
October 23, 2008 - January 29, 2010
LINCOLN INVESTMENT
October 23, 2008 - January 29, 2010
LINCOLN INVESTMENT
March 13, 2007 - October 7, 2008
INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.
March 13, 2007 - October 7, 2008
INVESCO DISTRIBUTORS, INC.
May 24, 2005 - February 16, 2006
WELLS FARGO CLEARING SERVICES, LLC
February 4, 2005 - February 16, 2006
WELLS FARGO CLEARING SERVICES, LLC
September 22, 2000 - February 13, 2002
PRUDENTIAL EQUITY GROUP, LLC
January 4, 1996 - September 22, 2000
MORGAN STANLEY DW 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
Series 8
Date: 3/3/1999
General Securities Sales Supervisor Examination (Options Module & General Module)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.
