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TE

Tracy Ellmyer

PRUCO SECURITIES.
NEWARK, NJ 07102
Some features on this profile are disabled
CRD#: 4478273
TE

Professional summary

Tracy Ellmyer, who also goes by Tracy Nakielny, is a registered financial professional currently at PRUCO SECURITIES, LLC. located in Newark, New Jersey and PRUDENTIAL ANNUITIES DISTRIBUTORS, INC located in Newark, New Jersey.

Tracy is registered as a RR (Registered Representative) and started their career in finance in 2002. Tracy has worked at 3 firms and has passed the SIE, Series 6, Series 51 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tracy Nakielny

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Tracy Ellmyer's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 28, 2007 - Present

PRUCO SECURITIES, LLC.

Office #1: 213 Washington Street, Newark, NJ 07102
RIA
BD
CRD#: 5685
NEWARK, NJ
Current

June 27, 2018 - Present

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

Office #1: 213 Washington Street, Newark, NJ 07102
BD
CRD#: 21570
Newark, NJ
Past

August 28, 2007 - May 30, 2008

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BD
CRD#: 21570
SHELTON, CT
Past

March 11, 2002 - June 16, 2008

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
NEWARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New Jersey
(8/28/2007)

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 3/8/2002
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 12/17/2009
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 10/2/2007
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PA
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
AMERICAN SKANDIA MARKETING, INC. | PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570 / SEC#: , 8-39058

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
One Corporate Drive, Shelton, CT 06484
Mailing Address
One Corporate Drive, Shelton, CT 06484
Phone number
(800) 628-6039
Established
Delaware since 09/08/1987
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
THE PRUDENTIAL INSURANCE COMPANY OF AMERICASHAREHOLDER COMMON
CARROLL, TRACEY MARIACHIEF OPERATING OFFICER5841463
CARROLL, TRACEY MARIAPRESIDENT5841463
HAGGERTY, SCOTT PETERCHIEF EXECUTIVE OFFICER2619329
MCGRATH, SHANE THOMASCHIEF COMPLIANCE OFFICER4458909
SMIT, ROBERT PHILIPFINOP, CFO2332366
THOMSEN, JORDAN KCHIEF LEGAL OFFICER AND SECRETARY2821664

Disclosures

Regulatory Event2
Civil Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570Newark, NJ 07102

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