Alex J. Stanek
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.
Alex John Stanek was a registered financial professional .
Alex is a previously registered financial professional and started their career in finance in 1998. Alex had worked at 10 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2017 - August 31, 2020
PRUCO SECURITIES, LLC.
April 13, 2017 - August 31, 2020
PRUCO SECURITIES, LLC.
January 6, 2017 - April 7, 2017
W&S BROKERAGE SERVICES, INC.
April 29, 2016 - August 22, 2016
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
April 7, 2014 - July 21, 2014
SOUTHEAST INVESTMENTS, N.C., INC.
August 18, 2011 - March 29, 2012
OSAIC SERVICES, INC.
July 20, 2004 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
July 20, 2004 - September 24, 2010
MSI FINANCIAL SERVICES, INC.
May 7, 2003 - August 3, 2004
ALLSTATE FINANCIAL SERVICES, LLC
April 29, 1999 - November 13, 2002
SIGNATOR INVESTORS, INC.
April 17, 1998 - February 10, 1999
NYLIFE SECURITIES LLC
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: 3/12/2022
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.
