Thomas E. Mitchell
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.
Thomas Eugene Mitchell II, who also goes by Thomas E Mitchell, Thomas Eugene Mitchell II, Thomas Mitchell, Thomas Eugene Mitchell Ii Ii, Thomas Eugene Mitchell, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2003. Thomas had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6, Series 26, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2018 - April 8, 2021
PRUCO SECURITIES, LLC.
December 27, 2014 - April 8, 2021
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
December 18, 2014 - November 6, 2020
AST INVESTMENT SERVICES, INC.
June 13, 2008 - January 8, 2014
AST INVESTMENT SERVICES, INC.
June 13, 2008 - January 8, 2014
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
April 2, 2007 - June 2, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 2, 2008
MORGAN STANLEY & CO. LLC
November 15, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
November 15, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
September 27, 2005 - October 24, 2005
LINCOLN FINANCIAL DISTRIBUTORS, INC.
September 27, 2005 - October 24, 2005
LINCOLN FINANCIAL DISTRIBUTORS, INC.
June 10, 2004 - August 29, 2005
WELLS FARGO CLEARING SERVICES, LLC
March 11, 2003 - August 29, 2005
WELLS FARGO CLEARING SERVICES, LLC
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.
