Gary B. Hallock
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.
Gary Barton Hallock JR, who also goes by Gary B Hallock Jr, Gary B Hallock, Gary Hallock, was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1998. Gary had worked at 6 firms and has passed the Series 66, Series 7TO, 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 23, 2020 - April 15, 2021
PRUCO SECURITIES, LLC.
December 3, 2019 - April 15, 2021
PRUCO SECURITIES, LLC.
April 23, 2008 - April 14, 2009
ASSET & FINANCIAL PLANNING, LTD
April 21, 2008 - April 14, 2009
PRIME CAPITAL SERVICES, INC.
September 20, 2005 - April 23, 2008
WADDELL & REED
September 15, 2005 - April 23, 2008
WADDELL & REED
October 21, 1998 - September 7, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
September 9, 1998 - September 7, 2005
IDS LIFE INSURANCE COMPANY
September 9, 1998 - September 7, 2005
AMERIPRISE FINANCIAL SERVICES, 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 7TO
Date: 12/3/2019
General Securities 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.
