Jacqueline C. Mallon
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.
Jacqueline C Mallon, who also goes by Jacqueline Clere Hecht, Jacqueline Hecht, Jackie Mallon, Jacquelin Clere Mallon, Jacqueline Mallon, Jacqueline Clere Mallon, was a registered financial professional .
Jacqueline is a previously registered financial professional and started their career in finance in 1997. Jacqueline had worked at 16 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2023 - September 13, 2023
PRUCO SECURITIES, LLC.
December 26, 2019 - December 31, 2020
PFS INVESTMENTS INC.
December 24, 2019 - December 31, 2020
PFS INVESTMENTS INC.
October 20, 2016 - December 31, 2017
PFS INVESTMENTS INC.
September 8, 2016 - December 31, 2017
PFS INVESTMENTS INC.
October 1, 2015 - July 6, 2016
CETERA INVESTMENT ADVISERS LLC
October 24, 2014 - September 25, 2015
CETERA INVESTMENT ADVISERS LLC
October 24, 2014 - July 6, 2016
CETERA INVESTMENT SERVICES LLC
November 6, 2013 - November 1, 2014
OSAIC INSTITUTIONS, INC.
November 6, 2013 - November 1, 2014
OSAIC INSTITUTIONS, INC.
June 6, 2008 - August 24, 2012
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 3, 2008 - August 24, 2012
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 1, 2006 - February 21, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 24, 2005 - May 12, 2006
CITIZENS SECURITIES, INC.
September 10, 2004 - August 23, 2005
PNC WEALTH MANAGEMENT LLC
December 5, 2001 - November 29, 2002
BNY MELLON SECURITIES LLC
February 7, 2001 - December 5, 2001
CONSECO SECURITIES, INC.
July 31, 1999 - June 30, 2000
FIRST UNION BROKERAGE SERVICES, INC.
October 7, 1997 - March 25, 1999
IDS LIFE INSURANCE COMPANY
October 7, 1997 - March 25, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
July 30, 1997 - October 2, 1997
MML INVESTORS SERVICES, LLC
February 13, 1997 - June 18, 1997
INVESTORS ASSOCIATES, 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 7TO
Date: 4/9/2023
General Securities Representative ExaminationCurrent 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.
