Jason D. Zajac
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.
Jason Dale Zajac was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 1997. Jason had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 55 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
October 2, 2014 - August 10, 2015
PRUCO SECURITIES, LLC.
July 24, 2013 - July 10, 2014
INVESTORS CAPITAL CORP.
July 24, 2013 - July 10, 2014
INVESTORS CAPITAL CORP.
March 30, 2012 - July 19, 2013
U.S. BANCORP INVESTMENTS, INC.
March 30, 2012 - July 19, 2013
U.S. BANCORP INVESTMENTS, INC.
July 14, 2011 - March 26, 2012
PNC WEALTH MANAGEMENT LLC
July 14, 2011 - March 26, 2012
PNC WEALTH MANAGEMENT LLC
January 20, 2010 - July 8, 2011
FIFTH THIRD SECURITIES, INC.
January 15, 2010 - July 8, 2011
FIFTH THIRD SECURITIES, INC.
May 9, 2007 - January 22, 2010
CITIZENS SECURITIES, INC.
May 8, 2007 - January 22, 2010
CITIZENS SECURITIES, INC.
June 15, 2005 - May 4, 2007
FIFTH THIRD SECURITIES, INC.
March 28, 2005 - May 4, 2007
FIFTH THIRD SECURITIES, INC.
December 3, 2004 - March 3, 2005
BANC ONE SECURITIES CORPORATION
January 29, 2004 - March 3, 2005
BANC ONE SECURITIES CORPORATION
November 20, 1998 - December 16, 2003
THE THIRD MARKET CORP.
May 19, 1997 - November 4, 1998
ACCESS FINANCIAL GROUP, 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 55
Date: 2/13/1999
Limited Representative-Equity Trader ExamCurrent 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.
