Vanessa Mahoney
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.
Vanessa Mahoney, who also goes by Vanessa Sandra Mahoney, Vanessa Sandra Rissetto, was a registered financial professional .
Vanessa is a previously registered financial professional and started their career in finance in 2001. Vanessa had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 55 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
October 30, 2019 - February 7, 2022
PRUCO SECURITIES, LLC.
October 29, 2019 - February 7, 2022
PRUCO SECURITIES, LLC.
July 30, 2018 - October 1, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 7, 2018 - October 1, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 19, 2013 - February 27, 2018
CITIGROUP GLOBAL MARKETS INC.
August 20, 2012 - July 3, 2013
PRUCO SECURITIES, LLC.
July 12, 2005 - July 8, 2010
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
December 15, 2004 - June 3, 2005
CHASE INVESTMENT SERVICES CORP.
January 2, 2004 - November 15, 2004
TD AMERITRADE, INC.
September 10, 2001 - February 14, 2003
WORLDCO, L.L.C.
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 55
Date: 1/12/2002
Limited Representative-Equity Trader ExamCurrent 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.
