Latosha M. Delgado
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.
Latosha Monique Delgado, who also goes by Tosha Delgado, was a registered financial professional .
Latosha is a previously registered financial professional and started their career in finance in 2000. Latosha had worked at 7 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 10, Series 9 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
May 16, 2019 - May 19, 2020
PRUCO SECURITIES, LLC.
April 29, 2019 - May 19, 2020
PRUCO SECURITIES, LLC.
July 20, 2018 - December 4, 2018
WELLS FARGO CLEARING SERVICES, LLC
July 19, 2018 - December 4, 2018
WELLS FARGO CLEARING SERVICES, LLC
December 2, 2016 - March 6, 2017
TD AMERITRADE, INC.
December 2, 2016 - March 6, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
December 2, 2016 - March 6, 2017
TD AMERITRADE, INC.
May 29, 2013 - November 8, 2016
J.P. MORGAN SECURITIES LLC
May 29, 2013 - November 8, 2016
J.P. MORGAN SECURITIES LLC
February 13, 2009 - September 8, 2011
STRATEGIC ADVISERS LLC
December 6, 2005 - September 7, 2011
FIDELITY BROKERAGE SERVICES LLC
July 25, 2000 - November 2, 2005
FIDELITY BROKERAGE 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
Series 7TO
Date: 8/9/2022
General Securities 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 | |
| DEPEW, SCOTT EMORY | ELECTED MANAGER | 2820574 |
| 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 |
| MCGRATH, SHANE THOMAS | CHIEF COMPLIANCE OFFICER | 4458909 |
| 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.
