Robert N. Begun
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 Nmn Begun, who also goes by Bob Begun, Robert Begun, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2001. Robert had worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 27, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2018 - August 4, 2025
PRUCO SECURITIES, LLC.
March 23, 2018 - August 4, 2025
PRUCO SECURITIES, LLC.
March 25, 2017 - September 26, 2017
MML INVESTORS SERVICES, LLC
March 25, 2017 - September 26, 2017
MML INVESTORS SERVICES, LLC
May 30, 2013 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
November 28, 2006 - April 23, 2013
WALNUT STREET SECURITIES, INC.
October 3, 2005 - April 23, 2013
TOWER SQUARE SECURITIES, INC.
September 29, 2005 - August 20, 2009
METLIFE INVESTORS DISTRIBUTION COMPANY
August 31, 2004 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
August 31, 2004 - May 16, 2014
NEW ENGLAND SECURITIES
August 31, 2004 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
August 1, 2003 - April 23, 2013
WALNUT STREET SECURITIES, INC.
November 5, 2001 - August 1, 2003
NATHAN & LEWIS 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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional 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.
