Tennille Duncan
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.
Tennille Duncan, who also goes by Tennille Ducan, Tennille A Duncan, Tennille Anitra Duncan, Tennille Duncan, Tennille Anitra Duncan, was a registered financial professional .
Tennille is a previously registered financial professional and started their career in finance in 2001. Tennille had worked at 8 firms and has passed the 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
August 23, 2022 - May 29, 2024
PRUCO SECURITIES, LLC.
January 3, 2020 - April 12, 2022
SAMUEL A. RAMIREZ & COMPANY, INC.
December 12, 2018 - March 6, 2019
EQUITABLE ADVISORS, LLC
December 1, 2017 - November 16, 2018
PAULSON INVESTMENT COMPANY LLC
February 18, 2013 - May 27, 2016
NEWPORT COAST SECURITIES, INC.
October 4, 2010 - August 3, 2011
MML INVESTORS SERVICES, LLC
October 16, 2008 - March 17, 2009
NYLIFE DISTRIBUTORS LLC
September 22, 2006 - May 23, 2007
PRUCO SECURITIES, LLC.
June 28, 2004 - August 22, 2006
EQUITABLE ADVISORS, LLC
August 20, 2001 - June 4, 2004
WEXFORD CLEARING 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
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.
