Shawn J. Hotz
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.
Shawn Joseph Hotz, who also goes by Shawn J Hotz, was a registered financial professional .
Shawn is a previously registered financial professional and started their career in finance in 2001. Shawn had worked at 7 firms and has passed the Series 63, Series 65, Series 66, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2022 - November 28, 2023
PRUCO SECURITIES, LLC.
November 16, 2022 - November 28, 2023
PRUCO SECURITIES, LLC.
April 1, 2022 - September 22, 2022
PRUCO SECURITIES, LLC.
May 27, 2020 - March 2, 2022
EQUITABLE ADVISORS, LLC
January 10, 2008 - September 21, 2010
TOWER SQUARE SECURITIES, INC.
May 2, 2006 - September 21, 2010
TOWER SQUARE SECURITIES, INC.
April 1, 2005 - May 3, 2006
VALIC FINANCIAL ADVISORS, INC.
September 7, 2004 - May 3, 2006
VALIC FINANCIAL ADVISORS, INC.
April 23, 2003 - September 22, 2004
HORNOR, TOWNSEND & KENT, LLC
April 6, 2001 - April 28, 2003
METROPOLITAN LIFE INSURANCE COMPANY
April 6, 2001 - April 28, 2003
MSI FINANCIAL SERVICES, 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
Series 7TO
Date: 5/27/2020
General Securities Representative ExaminationCurrent 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.
