Natasha M. Yeoh
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.
Natasha Michelle Yeoh, who also goes by Natasha Michelle Yeoh Ms., Natasha Michelle Ai Li Yeoh, Natasha Yeoh, was a registered financial professional .
Natasha is a previously registered financial professional and started their career in finance in 2000. Natasha had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 3 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
January 28, 2020 - April 7, 2021
PRUCO SECURITIES, LLC.
September 23, 2019 - April 7, 2021
PRUCO SECURITIES, LLC.
December 6, 2016 - June 19, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 6, 2016 - June 19, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 24, 2014 - June 30, 2016
UBS FINANCIAL SERVICES INC.
December 19, 2013 - June 30, 2016
UBS FINANCIAL SERVICES INC.
September 9, 2004 - November 23, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 10, 2003 - November 23, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 12, 2001 - August 16, 2002
J.P. MORGAN SECURITIES INC.
August 21, 2000 - February 12, 2001
JPMSI
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.
