Dante R. Plutko
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.
Dante Ray Plutko, who also goes by Dante Ray Plutko Jr, Dante Plutko, was a registered financial professional .
Dante is a previously registered financial professional and started their career in finance in 2000. Dante had worked at 8 firms and has passed the Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2020 - June 19, 2020
PRUCO SECURITIES, LLC.
January 13, 2016 - March 3, 2020
FARMERS FINANCIAL SOLUTIONS, LLC
July 14, 2014 - December 31, 2015
HORACE MANN INVESTORS, INC.
June 17, 2008 - December 31, 2010
FORTUNE FINANCIAL SERVICES, INC.
July 27, 2004 - December 31, 2007
FORTUNE FINANCIAL SERVICES, INC.
August 12, 2003 - November 3, 2003
BLUE VASE SECURITIES, LLC
May 29, 2001 - May 30, 2003
BLUE VASE SECURITIES, LLC
January 24, 2001 - March 29, 2001
AMERICAN GENERAL SECURITIES INCORPORATED
July 10, 2000 - December 14, 2000
METROPOLITAN LIFE INSURANCE COMPANY
July 10, 2000 - December 14, 2000
MSI FINANCIAL SERVICES, INC.
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 6TO
Date: 3/24/2024
Investment Company Products/Variable Contracts 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.
