Lorraine C. Ratchford
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.
Lorraine Candice Ratchford, who also goes by Lorraine Candice Connors, Connors Candice Elder, Lorraine Candice Elder, was a registered financial professional .
Lorraine is a previously registered financial professional and started their career in finance in 1995. Lorraine had worked at 14 firms and has passed the Series 63, SIE, Series 7, Series 9, Series 10 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
May 12, 2015 - April 21, 2017
PRUCO SECURITIES, LLC.
March 13, 2007 - March 25, 2011
OSAIC WEALTH, INC.
July 26, 2004 - February 26, 2007
CITICORP INVESTMENT SERVICES
October 10, 2002 - December 15, 2003
PFS INVESTMENTS INC.
January 31, 2001 - May 29, 2001
ROBERT W. BAIRD & CO. INCORPORATED
January 31, 2001 - May 29, 2001
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 10, 2000 - November 24, 2000
JPMSI
November 15, 1999 - May 1, 2000
CIBC WORLD MARKETS CORP.
May 11, 1999 - November 22, 1999
FIDELITY BROKERAGE SERVICES LLC
March 24, 1998 - April 28, 1999
IDS LIFE INSURANCE COMPANY
March 21, 1998 - April 28, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
December 9, 1996 - March 17, 1998
TD SECURITIES (USA) LLC
March 2, 1996 - September 10, 1996
SCOTIA CAPITAL (USA) INC.
October 26, 1995 - February 12, 1996
COMMONWEALTH ASSOCIATES
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.
