Bryan L. Breeding
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.
Bryan Lawson Breeding was a registered financial professional .
Bryan is a previously registered financial professional and started their career in finance in 2000. Bryan had worked at 9 firms and has passed the Series 65, Series 63, Series 66, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2021 - August 15, 2024
PRUCO SECURITIES, LLC.
August 11, 2021 - August 15, 2024
PRUCO SECURITIES, LLC.
December 1, 2020 - January 6, 2021
BROOKSTONE CAPITAL MANAGEMENT LLC
May 2, 2016 - June 11, 2020
LPL FINANCIAL LLC
February 18, 2016 - June 11, 2020
LPL FINANCIAL LLC
December 10, 2010 - November 15, 2011
TRUIST INVESTMENT SERVICES, INC.
November 23, 2010 - November 15, 2011
TRUIST INVESTMENT SERVICES, INC.
November 4, 2009 - December 7, 2010
VALIC FINANCIAL ADVISORS, INC.
October 27, 2009 - December 7, 2010
VALIC FINANCIAL ADVISORS, INC.
July 14, 2005 - September 10, 2008
CHASE INVESTMENT SERVICES CORP.
July 14, 2005 - September 10, 2008
CHASE INVESTMENT SERVICES CORP.
December 18, 2002 - July 15, 2005
CITISTREET EQUITIES LLC
April 12, 2002 - December 19, 2002
WORLD GROUP SECURITIES, INC.
December 12, 2000 - April 12, 2002
WMA 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.
