John E. Patterson
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.
John Edward Patterson, who also goes by John E Patterson, John Edward Patterson, Ed Patterson, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1997. John had worked at 9 firms and has passed the Series 66, Series 6TO, 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
January 3, 2023 - October 11, 2023
PRUCO SECURITIES, LLC.
January 3, 2023 - October 11, 2023
PRUCO SECURITIES, LLC.
September 22, 2021 - June 8, 2022
KNIGHTS OF COLUMBUS ASSET ADVISORS LLC
November 15, 2019 - August 19, 2021
ALLSTATE FINANCIAL ADVISORS, LLC
November 15, 2019 - August 19, 2021
ALLSTATE FINANCIAL SERVICES, LLC
April 29, 2013 - October 21, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 8, 2013 - October 21, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 25, 2003 - December 31, 2003
CANTELLA & CO., INC.
August 25, 2003 - December 31, 2003
CANTELLA & CO., INC.
April 10, 2003 - July 22, 2003
CITIZENS SECURITIES, INC.
April 10, 2003 - July 22, 2003
CITIZENS SECURITIES, INC.
October 1, 2002 - April 8, 2003
QUICK & REILLY, INC.
October 1, 2002 - April 8, 2003
QUICK & REILLY, INC.
October 27, 1997 - September 30, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 10, 1997 - September 15, 1997
MML INVESTORS SERVICES, LLC
September 10, 1997 - September 30, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts 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.
