William B. Collins
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.
William Brett Collins, who also goes by Brett Collins, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1999. William had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2021 - June 12, 2023
PRUCO SECURITIES, LLC.
January 19, 2021 - June 12, 2023
PRUCO SECURITIES, LLC.
March 24, 2020 - January 20, 2021
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
January 3, 2019 - March 31, 2020
PRUCO SECURITIES, LLC.
February 26, 2018 - August 3, 2018
ON INVESTMENT MANAGEMENT CO
February 26, 2018 - August 3, 2018
THE O.N. EQUITY SALES COMPANY
May 4, 2017 - March 19, 2018
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
May 4, 2017 - March 19, 2018
CAMBRIDGE INVESTMENT RESEARCH, INC.
October 8, 2014 - February 3, 2017
MML INVESTORS SERVICES, LLC
August 26, 2014 - February 3, 2017
MML INVESTORS SERVICES, LLC
July 23, 2004 - April 23, 2014
OSAIC FA, INC.
July 23, 2004 - June 12, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 23, 2004 - April 23, 2014
OSAIC FA, INC.
December 31, 2001 - July 13, 2004
EQUITABLE ADVISORS, LLC
April 23, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
April 23, 1999 - July 13, 2004
EQUITABLE ADVISORS, 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
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.
