Lance C. Provo
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.
Lance C Provo, who also goes by Lance Provo, was a registered financial professional .
Lance is a previously registered financial professional and started their career in finance in 1996. Lance had worked at 14 firms and has passed the Series 65, Series 63, SIE, 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
October 8, 2021 - February 15, 2022
PRUCO SECURITIES, LLC.
October 7, 2021 - February 15, 2022
PRUCO SECURITIES, LLC.
June 4, 2019 - September 25, 2020
PNC WEALTH MANAGEMENT LLC
May 21, 2019 - September 25, 2020
PNC WEALTH MANAGEMENT LLC
March 3, 2017 - April 26, 2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 3, 2017 - April 26, 2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
January 11, 2016 - February 24, 2017
INVEST FINANCIAL CORPORATION
January 11, 2016 - February 24, 2017
INVEST FINANCIAL CORPORATION
April 28, 2014 - January 26, 2016
ASSOCIATED INVESTMENT SERVICES, INC.
July 8, 2013 - January 26, 2016
ASSOCIATED INVESTMENT SERVICES, INC.
March 4, 2008 - June 20, 2013
LPL FINANCIAL LLC
March 4, 2008 - June 20, 2013
LPL FINANCIAL LLC
January 8, 2007 - March 4, 2008
IFMG SECURITIES, INC.
July 26, 2004 - August 12, 2005
IFMG SECURITIES, INC.
January 28, 2004 - July 28, 2004
CETERA WEALTH SERVICES, LLC
September 16, 2003 - December 3, 2003
FIRST MIDAMERICA INVESTMENT CORPORATION
December 22, 2000 - September 15, 2003
BANC ONE SECURITIES CORPORATION
October 7, 1998 - December 31, 1998
FIRSTAR INVESTMENT SERVICES,INC.
February 24, 1998 - June 26, 1998
IDS LIFE INSURANCE COMPANY
February 24, 1998 - June 26, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
June 21, 1996 - March 3, 1998
LUTHERAN BROTHERHOOD SECURITIES CORP.
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.
