Derek S. Foster
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.
Derek Sloan Foster was a registered financial professional .
Derek is a previously registered financial professional and started their career in finance in 2002. Derek had worked at 7 firms and has passed the Series 66, SIE 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
May 7, 2018 - May 22, 2019
PRUCO SECURITIES, LLC.
April 12, 2018 - May 22, 2019
PRUCO SECURITIES, LLC.
January 6, 2015 - March 3, 2017
KEY INVESTMENT SERVICES LLC
January 6, 2015 - March 3, 2017
KEY INVESTMENT SERVICES LLC
April 9, 2012 - June 4, 2014
CUSO FINANCIAL SERVICES, L.P.
April 9, 2012 - June 4, 2014
CUSO FINANCIAL SERVICES, L.P.
August 31, 2010 - April 10, 2012
U.S. BANCORP INVESTMENTS, INC.
August 31, 2010 - April 10, 2012
U.S. BANCORP INVESTMENTS, INC.
July 25, 2008 - August 24, 2010
KEY INVESTMENT SERVICES LLC
July 25, 2008 - August 24, 2010
KEY INVESTMENT SERVICES LLC
July 18, 2006 - July 14, 2008
CETERA WEALTH SERVICES, LLC
March 2, 2006 - July 14, 2008
CETERA WEALTH SERVICES, LLC
May 28, 2002 - January 4, 2006
MSI FINANCIAL SERVICES, INC.
April 26, 2002 - January 4, 2006
METROPOLITAN LIFE INSURANCE COMPANY
April 26, 2002 - January 4, 2006
MSI FINANCIAL SERVICES, 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
Current 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.
