Yvette S. Woods
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.
Yvette Sotomayor Woods, who also goes by Yvette Sotomayor, Yvette Sotomayor Woods Mrs., was a registered financial professional .
Yvette is a previously registered financial professional and started their career in finance in 2000. Yvette had worked at 6 firms and has passed the Series 65, Series 63 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
September 6, 2011 - April 2, 2012
PRUCO SECURITIES, LLC.
December 22, 2010 - April 2, 2012
PRUCO SECURITIES, LLC.
June 22, 2010 - December 9, 2010
EQUITABLE ADVISORS, LLC
June 22, 2010 - December 9, 2010
EQUITABLE ADVISORS, LLC
September 18, 2008 - June 1, 2010
NATIONWIDE INVESTMENT SERVICES CORPORATION
January 1, 2008 - August 25, 2008
VALIC FINANCIAL ADVISORS, INC.
July 13, 2005 - August 25, 2008
VALIC FINANCIAL ADVISORS, INC.
February 1, 2005 - June 13, 2005
M&T SECURITIES, INC.
May 10, 2000 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
May 10, 2000 - January 31, 2005
VALIC FINANCIAL ADVISORS, 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
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.
