Rodney D. Nolen
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.
Rodney Dale Nolen was a registered financial professional .
Rodney is a previously registered financial professional and started their career in finance in 2001. Rodney had worked at 17 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2013 - August 20, 2015
PRUCO SECURITIES, LLC.
March 13, 2012 - January 17, 2013
THE O.N. EQUITY SALES COMPANY
November 16, 2010 - June 22, 2011
EQUITY SERVICES, INC.
November 4, 2010 - June 22, 2011
EQUITY SERVICES, INC.
June 17, 2010 - September 13, 2010
NEW ENGLAND SECURITIES
April 6, 2010 - September 13, 2010
NEW ENGLAND SECURITIES
November 13, 2009 - April 14, 2010
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - April 14, 2010
PNC WEALTH MANAGEMENT LLC
July 7, 2009 - November 13, 2009
NATCITY INVESTMENTS, INC.
May 12, 2009 - November 13, 2009
NATCITY INVESTMENTS, INC.
December 2, 2008 - April 24, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - April 24, 2009
WELLS FARGO CLEARING SERVICES, LLC
September 27, 2007 - January 3, 2008
A. G. EDWARDS & SONS, INC.
October 5, 2004 - June 19, 2006
EQUITABLE ADVISORS, LLC
December 12, 2003 - September 23, 2004
METROPOLITAN LIFE INSURANCE COMPANY
December 12, 2003 - September 23, 2004
MSI FINANCIAL SERVICES, INC.
May 20, 2003 - October 28, 2003
FIFTH THIRD SECURITIES, INC.
November 20, 2002 - February 27, 2003
CHARTER ONE SECURITIES, INC.
July 2, 2002 - October 21, 2002
LASALLE FINANCIAL SERVICES, INC.
September 27, 2001 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
September 27, 2001 - June 24, 2002
VALIC FINANCIAL ADVISORS, INC.
April 23, 2001 - September 25, 2001
BANC ONE SECURITIES CORPORATION
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.
