Michael J. Wilson
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.
Michael Joe Wilson, who also goes by Michael Wilson, Mike J Wilson, Mike Joe Wilson, Michael J Wilson, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1998. Michael had worked at 7 firms and has passed the Series 65, Series 63, 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
March 25, 2020 - June 20, 2022
PRUCO SECURITIES, LLC.
November 26, 2019 - June 20, 2022
PRUCO SECURITIES, LLC.
January 31, 2014 - December 13, 2019
VALIC FINANCIAL ADVISORS, INC.
January 31, 2014 - December 13, 2019
VALIC FINANCIAL ADVISORS, INC.
May 6, 2013 - January 15, 2014
LPL FINANCIAL LLC
May 3, 2013 - January 15, 2014
LPL FINANCIAL LLC
November 17, 2010 - May 9, 2013
VALIC FINANCIAL ADVISORS, INC.
November 15, 2010 - May 9, 2013
VALIC FINANCIAL ADVISORS, INC.
May 24, 2007 - November 17, 2010
ALLSTATE FINANCIAL SERVICES, LLC
March 30, 2006 - May 7, 2007
CETERA WEALTH SERVICES, LLC
November 15, 2005 - May 7, 2007
CETERA WEALTH SERVICES, LLC
July 16, 2001 - September 1, 2005
COUNTRY TRUST BANK
July 2, 2001 - September 1, 2005
COUNTRY CAPITAL MANAGEMENT COMPANY
September 20, 1999 - June 5, 2001
PRUCO SECURITIES, LLC.
November 25, 1998 - September 13, 1999
COUNTRY CAPITAL MANAGEMENT COMPANY
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.
