Raylon M. Catlett
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.
Raylon Michael Catlett was a registered financial professional .
Raylon is a previously registered financial professional and started their career in finance in 2000. Raylon had worked at 8 firms and has passed the Series 66, SIE 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
June 27, 2017 - October 17, 2017
PRUCO SECURITIES, LLC.
November 30, 2016 - March 8, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 29, 2016 - March 8, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 21, 2015 - October 21, 2016
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
September 21, 2015 - October 21, 2016
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
May 27, 2015 - August 19, 2015
WELLS FARGO CLEARING SERVICES, LLC
May 26, 2015 - August 19, 2015
WELLS FARGO CLEARING SERVICES, LLC
November 28, 2014 - April 13, 2015
PNC WEALTH MANAGEMENT LLC
November 14, 2013 - April 13, 2015
PNC WEALTH MANAGEMENT LLC
January 22, 2007 - November 5, 2013
RIVERSOURCE DISTRIBUTORS, INC.
April 16, 2001 - July 3, 2006
IDS LIFE INSURANCE COMPANY
April 16, 2001 - January 1, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
August 30, 2000 - March 28, 2001
IDS LIFE INSURANCE COMPANY
August 30, 2000 - March 28, 2001
AMERIPRISE FINANCIAL 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
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.
