David R. Andrews
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.
David R Andrews, who also goes by David Robert Andrews, David Andrews, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2000. David had worked at 10 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
September 19, 2018 - May 17, 2019
PRUCO SECURITIES, LLC.
January 5, 2017 - September 20, 2018
CUNA BROKERAGE SERVICES, INC.
January 4, 2017 - September 20, 2018
CUNA BROKERAGE SERVICES, INC.
February 24, 2015 - December 15, 2016
MSI FINANCIAL SERVICES, INC.
February 23, 2015 - December 15, 2016
MSI FINANCIAL SERVICES, INC.
January 17, 2013 - February 26, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 14, 2013 - February 26, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 25, 2009 - November 9, 2012
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 24, 2009 - November 9, 2012
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 14, 2008 - January 23, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 14, 2008 - January 23, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 9, 2007 - October 16, 2007
MORGAN STANLEY & CO. LLC
May 9, 2007 - October 16, 2007
MORGAN STANLEY & CO. LLC
February 24, 2004 - August 29, 2006
CITIGROUP GLOBAL MARKETS INC.
February 24, 2004 - August 29, 2006
CITIGROUP GLOBAL MARKETS INC.
October 14, 2002 - July 30, 2003
ATLAS SECURITIES, LLC
August 28, 2002 - September 10, 2002
QUICK & REILLY, INC.
August 23, 2002 - October 3, 2002
CROWELL, WEEDON & CO.
July 8, 2002 - September 10, 2002
QUICK & REILLY, INC.
December 19, 2000 - July 2, 2002
CROWELL, WEEDON & CO.
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.
