Ralph Finelli
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.
Ralph Finelli was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1995. Ralph had worked at 5 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 6 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
March 2, 2010 - December 21, 2020
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
January 8, 2009 - December 21, 2009
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
February 28, 2006 - January 6, 2009
COREBRIDGE CAPITAL SERVICES, INC.
February 26, 2003 - March 25, 2004
AMERICAN SKANDIA ADVISORY SERVICES, INC.
July 12, 1996 - February 17, 2006
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
March 6, 1995 - November 17, 1995
METROPOLITAN LIFE INSURANCE COMPANY
March 6, 1995 - November 17, 1995
MSI FINANCIAL SERVICES, INC.
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 6TO
Date: 3/8/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
CRD#: 21570 / SEC#: , 8-39058
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SHAREHOLDER COMMON | |
| CARROLL, TRACEY MARIA | PRESIDENT | 5841463 |
| HAGGERTY, SCOTT PETER | CHIEF EXECUTIVE OFFICER | 2619329 |
| HARTNETT, CHRISTINA A | CHIEF OPERATING OFFICER | 2672099 |
| MCGRATH, SHANE THOMAS | CHIEF COMPLIANCE OFFICER | 4458909 |
| SMIT, ROBERT PHILIP | FINOP, CFO | 2332366 |
| THOMSEN, JORDAN K | CHIEF LEGAL OFFICER AND SECRETARY | 2821664 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
