Joan K. Giampaolo
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.
Joan K Giampaolo, who also goes by Joan Crnkovich, Joan Kristina Giampaolo, Joan K. Young, was a registered financial professional .
Joan is a previously registered financial professional and started their career in finance in 1995. Joan had worked at 9 firms and has passed the Series 65, Series 63, 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
July 21, 2011 - August 24, 2012
PRUCO SECURITIES, LLC.
July 19, 2011 - August 24, 2012
PRUCO SECURITIES, LLC.
November 21, 2008 - June 27, 2011
CETERA WEALTH SERVICES, LLC
October 3, 2008 - June 27, 2011
CETERA WEALTH SERVICES, LLC
January 2, 2008 - October 7, 2008
SCF INVESTMENT ADVISORS, INC.
January 2, 2008 - October 7, 2008
SCF SECURITIES, INC.
April 24, 2006 - August 23, 2007
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
November 8, 2004 - August 23, 2007
TD AMERITRADE, INC.
November 8, 2004 - August 23, 2007
TD AMERITRADE, INC.
July 7, 2003 - November 18, 2004
BROOKLIGHT PLACE SECURITIES, INC.
January 1, 2002 - November 18, 2004
BROOKLIGHT PLACE SECURITIES, INC.
November 2, 2001 - January 1, 2002
IAC SECURITIES, INC.
June 3, 1999 - November 1, 2001
CAPITAL BROKERAGE CORPORATION
June 14, 1995 - May 17, 1999
PRUCO 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.
