Darlene K. Paradise

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CRD#: 3103647

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.

Darlene Kay Paradise, who also goes by Darlene Kay Thompson, was a registered financial professional .

Darlene is a previously registered financial professional and started their career in finance in 1998. Darlene had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Darlene Kay Thompson

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.

HEALTH INSURANCE/MEDICARE SUPS AND RELATED SALES POSITION: agent NATURE: individual health insurance and med sups INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 10/25/2019 ADDRESS: 8430 E Oakwood Ln, Morgantown IN 46160, United States DESCRIPTION: Offering individual health insurance and medicare supplements.

Blog Corner

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®

None

Experience

Past

February 1, 2018 - February 17, 2023

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Indianapolis, IN

Past

January 5, 2018 - February 17, 2023

PRUCO SECURITIES, LLC.

CRD#: 5685

Indianapolis, IN

Past

October 18, 2016 - October 27, 2016

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

GREENWOOD, IN

Past

February 15, 2013 - June 9, 2016

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

BLOOMINGTON, IN

Past

February 15, 2013 - June 9, 2016

FIFTH THIRD SECURITIES, INC.

CRD#: 628

BLOOMINGTON, IN

Past

October 1, 2012 - February 5, 2013

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

INDIANAPOLIS, IN

Past

October 1, 2012 - February 5, 2013

J.P. MORGAN SECURITIES LLC

CRD#: 79

INDIANAPOLIS, IN

Past

August 2, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

INDIANAPOLIS, IN

Past

August 2, 2012 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

INDIANAPOLIS, IN

Past

March 10, 2010 - July 24, 2012

KEY INVESTMENT SERVICES LLC

RIA

CRD#: 136300

WHITELAND, IN

Past

March 10, 2010 - July 24, 2012

KEY INVESTMENT SERVICES LLC

CRD#: 136300

WHITELAND, IN

Past

July 20, 2009 - March 8, 2010

KEY INVESTMENT SERVICES LLC

RIA

CRD#: 136300

GREENWOOD, IN

Past

July 20, 2009 - March 8, 2010

KEY INVESTMENT SERVICES LLC

CRD#: 136300

GREENWOOD, IN

Past

May 22, 2008 - April 30, 2009

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

GREENWOOD, IN

Past

July 6, 2005 - May 2, 2008

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

BLOOMINGTON, IN

Past

July 6, 2005 - May 2, 2008

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

BLOOMINGTON, IN

Past

September 11, 2003 - July 6, 2005

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

BLOOMINGTON, IN

Past

November 20, 2000 - July 6, 2005

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

August 27, 1998 - November 9, 2000

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/8/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/27/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/31/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/26/1998

Investment Company Products/Variable Contracts Representative Examination

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)

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)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PRUCO SECURITIES, LLC (3/25/2025)

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	Cover Page	Report
12/22/2023	Cover Page	Report
12/22/2023	Cover Page	Report

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.

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Firm Stability Insights

Darlene K. Paradise

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRUCO SECURITIES, LLC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

KEY INVESTMENT SERVICES LLC

KEY INVESTMENT SERVICES LLC

KEY INVESTMENT SERVICES LLC

KEY INVESTMENT SERVICES LLC

ALLSTATE FINANCIAL SERVICES, LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/8/2003

Series 63

Date: 8/27/1998

SIE

Date: 10/1/2018

Series 7

Date: 7/31/2001

Series 6

Date: 8/26/1998

Current Firm

PRUCO SECURITIES, LLC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PRUCO SECURITIES, LLC.

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