Robert M. Tasker
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.
Robert Mccutcheon Tasker, who also goes by Bob Tasker, Robert Mccutchen Tasker, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1968. Robert had worked at 13 firms and has passed the Series 63, Series 000, Series 1, Series 53, Series 4, Series 24, Series 8 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2012 - April 3, 2013
PRUCO SECURITIES, LLC.
April 25, 2011 - February 6, 2012
COUNTRY CAPITAL MANAGEMENT COMPANY
September 14, 2010 - March 17, 2011
MSI FINANCIAL SERVICES, INC.
August 22, 2005 - January 9, 2009
WELLS FARGO INVESTMENTS, LLC
August 22, 2005 - January 9, 2009
WELLS FARGO INVESTMENTS, LLC
September 14, 2000 - August 29, 2005
MORGAN STANLEY DW INC.
August 23, 2000 - August 29, 2005
MORGAN STANLEY DW INC.
January 17, 1995 - August 28, 2000
PIPER SANDLER & CO.
September 25, 1992 - January 23, 1995
HANIFEN, IMHOFF INC.
September 6, 1991 - September 23, 1992
GLOBAL CAPITAL SECURITIES CORPORATION
July 27, 1990 - September 10, 1991
D.E. FREY & COMPANY, INC.
April 17, 1986 - August 9, 1990
WEDBUSH SECURITIES INC.
August 16, 1977 - May 23, 1980
RAUSCHER PIERCE REFSNES, INC.
August 26, 1971 - September 13, 1977
BOSWORTH SULLIVAN & COMPANY INCORPORATED
July 1, 1968 - May 8, 1986
CITIGROUP GLOBAL MARKETS 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 000
Date: 7/1/1968
General Securities Principal ExaminationSeries 1
Date: 7/1/1968
Registered Representative ExaminationSeries 8
Date: 1/19/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 2/14/1978
Registered Principal 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.
