Esteban Silva
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.
Esteban Silva, who also goes by Steve Silva, was a registered financial professional .
Esteban is a previously registered financial professional and started their career in finance in 2000. Esteban had worked at 7 firms and has passed the Series 66, SIE, Series 31 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
March 4, 2020 - November 5, 2020
PRUCO SECURITIES, LLC.
July 7, 2017 - February 1, 2018
MML INVESTORS SERVICES, LLC
July 7, 2017 - February 1, 2018
MML INVESTORS SERVICES, LLC
February 27, 2012 - July 16, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 16, 2012 - July 16, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 2, 2009 - September 22, 2011
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - September 22, 2011
CHASE INVESTMENT SERVICES CORP.
June 7, 2006 - May 2, 2009
WAMU INVESTMENTS, INC.
May 19, 2003 - May 2, 2009
WAMU INVESTMENTS, INC.
August 1, 2001 - March 25, 2002
MORGAN STANLEY DW INC.
October 5, 2000 - June 25, 2001
KIRLIN SECURITIES 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.
