Robert L. Edwards
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.
Robert Lee Edwards was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1997. Robert had worked at 13 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 31, Series 7 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
February 28, 2018 - December 2, 2019
PRUCO SECURITIES, LLC.
November 17, 2015 - June 17, 2016
TRANSAMERICA INVESTORS SECURITIES, LLC
March 21, 2006 - March 30, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
March 10, 2006 - March 30, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
July 22, 2005 - December 31, 2005
CITISTREET EQUITIES LLC
July 18, 2005 - December 31, 2005
CITISTREET FINANCIAL SERVICES LLC
December 5, 2002 - March 30, 2004
SUNAMERICA SECURITIES, INC.
August 15, 2002 - October 18, 2002
USALLIANZ SECURITIES, INC.
January 24, 2001 - August 12, 2002
QUICK & REILLY, INC.
March 28, 2000 - December 1, 2000
PNC BROKERAGE CORP
February 10, 1999 - March 21, 2000
CUNA BROKERAGE SERVICES, INC.
October 12, 1998 - January 20, 1999
BANC ONE SECURITIES CORPORATION
December 15, 1997 - March 15, 1998
MURIEL SIEBERT & CO., LLC
June 20, 1997 - December 3, 1997
MORGAN STANLEY DW 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
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.
