TA
Thaddeus L. Anderson
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CRD#: 2895661
TA
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.
Thaddeus Lance Anderson, who also goes by Thad Lance Anderson, was a registered financial professional .
Thaddeus is a previously registered financial professional and started their career in finance in 1999. Thaddeus had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Thad Lance Anderson
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Sole Owner of two rental properties in New Jersey. Sole Proprietor of Financial Sentinel Advisory: Debt & Risk Management consulting business (Non-Investment). Activities are debt management through budget training & advising for individuals, (and) operational audits & risk assessment for institutions. THADDEUS L ANDERSON, DBA, FINANCIAL SENTINEL ADVISORY POSITION: Lead Consultant NATURE: Educational Services INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2012 ADDRESS: 2022 Edison Ter, Union NJ 07083, United States DESCRIPTION: Income tax preparation / Debt management education via seminar and one-on-one meetings / andfinancial literacy education to adults and school age children THADDEUS L ANDERSON POSITION: Landlord NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 06/11/1996 ADDRESS: 2022 Edison Terrace, Union NJ 07083, United States DESCRIPTION: Tenant interaction with respect to fulfilling maintenance requests,and property oversight via property manager. Processing rent collection and record keeping on a monthly basis. MOUNT OLIVE CHURCH POSITION: Budget Coordinator reporting to the Trustee Ministry NATURE: Religious Organization: House of Worship INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 01/02/2023 ADDRESS: 11 Ashland Ave, East Orange NJ 07017, United States DESCRIPTION: Duties: perform budget and financial analysis related to church expenditures and planning. Report content related to actual vs budget performance. ?When applicable, activities primarily take place on Sundays / and a quarterly meeting that takes place on a given evening after 6pm..
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
September 30, 2019 - January 30, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Basking Ridge, NJ
Past
May 10, 2019 - January 30, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Basking Ridge, NJ
Past
March 27, 2015 - January 4, 2017
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
June 24, 2013 - October 23, 2014
UBS SECURITIES LLC
BD
CRD#: 7654
WEEHAWKEN, NJ
Past
June 1, 2009 - February 8, 2012
MORGAN STANLEY
BD
CRD#: 149777
PURCHASE, NY
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
November 21, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
March 26, 2004 - October 19, 2006
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
July 1, 2003 - July 11, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
May 13, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PRUCO SECURITIES, LLC.
PRUCO SECURITIES CORPORATION | PRUDENTIAL FINANCIAL PLANNING SERVICES | PRUCO SECURITIES, LLC. | PRUCO SECURITIES, LLC
CRD#: 5685 / SEC#: 801-52208, 8-16402
RIA
Registered Investment Advisory firm - SEC (6/28/1996 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
PRUCO SECURITIES, LLC.
PRUCO SECURITIES CORPORATION | PRUDENTIAL FINANCIAL PLANNING SERVICES | PRUCO SECURITIES, LLC. | PRUCO SECURITIES, LLC
CRD#: 5685 / SEC#: 801-52208, 8-16402
RIA
Registered Investment Advisory firm - SEC (6/28/1996 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
751 Broad Street, Newark, NJ 07102-3777
Mailing Address
751 Broad Street, Newark, NJ 07102-3777
Phone number
(973) 802-6000
Established
New Jersey since 09/22/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
387
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.
