WM
Warren S. Mcclellan
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CRD#: 4443200
WM
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.
Warren Stephen Mcclellan was a registered financial professional .
Warren is a previously registered financial professional and started their career in finance in 2001. Warren had worked at 6 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
EXCELSIOR PARTNERS POSITION: co-ower NATURE: Non-Profit and Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2007 ADDRESS: 3883 Roders Bridge Rd, Suite 303B, Duluth GA 30097, United States DESCRIPTION: tax consulting for non-profits MCCLELLAN FINANCIAL SERVICES POSITION: owner NATURE: DBA - Tax purpose only INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 09/15/1992 ADDRESS: 3882 Rogers Bridge Rd, NW, Duluth GA 30097, United States DESCRIPTION: owner MT ROGERS HOLDING, LLC POSITION: owner NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 136 START DATE: 01/15/2011 ADDRESS: 3883 Rodgers Bridge Rd, Suit 303B, Duluth GA 30097, United States DESCRIPTION: owner of building CPA firm located in GWINNETT CO PUBLIC SCHOOL FOUNDAION POSITION: Executive board member NATURE: Non-Profit and Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2006 ADDRESS: 437 Old Peachtree Rd NW, Suwanee GA 30024, United States DESCRIPTION: As a board member they approve budget but no funds handled or investment decisions involved in GWINNETT LEADERSHIP FOUNDATION POSITION: volunteer CPA NATURE: Non-Profit and Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 08/01/1996 ADDRESS: 6500 Sugarloaf Parkway, Duluth GA 30079, United States DESCRIPTION: writes checks as a CPA for the foundation. The check registry is approved and checked monthly by the board members. SOUTHEASTERN RAILWAY MUSEUM INC POSITION: board member NATURE: museum INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2021 ADDRESS: 3595 Buford Highway, Duluth GA 30096, United States DESCRIPTION: sitting on the board WELLROOT FAMILY SERVICES FOUNDATION, INC. POSITION: On the board of directors. NATURE: Non-Profit and Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2022 ADDRESS: 1967 Lakeside Pkwy, Ste 400, Tucker GA 30084, United States DESCRIPTION: On the board of directors - to be part of board voting on organization activities. WELLROOT FAMILY SERVICES (USE TO BE UNITED METHODIST CHILDRENS HOME) POSITION: Member of the Board of Directors; NATURE: Non-Profit and Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 02/22/2016 ADDRESS: 1967 Lakeside Pkwy. STE 400, Tucker GA 30084, United States DESCRIPTION: committee oversight of endowment fund. No individual authority WELLROOT FAMILY SERVICES (USE TO BE UNITED METHODIST CHILDRENS HOME) POSITION: Chairman of the Finance Committee; Nature: NATURE: Non-Profit and Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 9/1/2024 ADDRESS: 1967 Lakeside Pkwy. STE 400, Tucker GA 30084, United States DESCRIPTION: The board oversees and approves any actions recommended by the finance committee. There is no fiduciary control or check writing capabilities associated with these roles.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
June 4, 2013 - November 12, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
DULUTH, GA
Past
April 11, 2013 - November 12, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
July 19, 2011 - May 31, 2013
GWN SECURITIES INC.
RIA
CRD#: 128929
DULUTH, GA
Past
July 1, 2010 - May 31, 2013
GWN SECURITIES INC.
BD
CRD#: 128929
DULUTH, GA
Past
February 16, 2005 - December 31, 2011
INTERACTIVE FINANCIAL ADVISORS
RIA
CRD#: 125117
OAKBROOK, IL
Past
February 15, 2005 - July 1, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
BD
CRD#: 36451
DULUTH, GA
Past
January 5, 2005 - March 9, 2005
PMG ASSET MANAGEMENT INC
RIA
CRD#: 110825
DULUTH, GA
Past
January 3, 2004 - December 31, 2004
PMG SECURITIES CORPORATION
RIA
CRD#: 27107
DULUTH, GA
Past
February 21, 2003 - December 31, 2003
PMG ASSET MANAGEMENT INC
RIA
CRD#: 110825
DULUTH, GA
Past
November 13, 2001 - February 15, 2005
PMG SECURITIES CORPORATION
BD
CRD#: 27107
ELGIN, IL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PRUCO SECURITIES, LLC.
PRUCO SECURITIES CORPORATION | PRUDENTIAL FINANCIAL PLANNING SERVICES | PRUCO SECURITIES, LLC. | PRUCO SECURITIES, LLC
CRD#: 5685 / SEC#: 801-52208, 8-16402
RIA
Registered Investment Advisory firm - SEC (6/28/1996 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
PRUCO SECURITIES, LLC.
PRUCO SECURITIES CORPORATION | PRUDENTIAL FINANCIAL PLANNING SERVICES | PRUCO SECURITIES, LLC. | PRUCO SECURITIES, LLC
CRD#: 5685 / SEC#: 801-52208, 8-16402
RIA
Registered Investment Advisory firm - SEC (6/28/1996 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
751 Broad Street, Newark, NJ 07102-3777
Mailing Address
751 Broad Street, Newark, NJ 07102-3777
Phone number
(973) 802-6000
Established
New Jersey since 09/22/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
387
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.
