Douglas E. Leedy
Professional summary
Douglas Eugene Leedy is a registered financial professional currently at PRUDENTIAL ANNUITIES DISTRIBUTORS, INC located in Alpharetta, Georgia.
Douglas is registered as a RR (Registered Representative) and started their career in finance in 2003. Douglas has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Douglas Eugene Leedy's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 26, 2020 - Present
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
May 16, 2011 - March 31, 2020
PRUCO SECURITIES, LLC.
February 22, 2010 - May 9, 2011
NATIONWIDE INVESTMENT SERVICES CORPORATION
June 22, 2009 - February 8, 2010
CITIZENS SECURITIES, INC.
June 19, 2009 - February 8, 2010
CITIZENS SECURITIES, INC.
May 21, 2009 - June 5, 2009
CHASE INVESTMENT SERVICES CORP.
May 19, 2009 - June 5, 2009
CHASE INVESTMENT SERVICES CORP.
March 13, 2009 - May 11, 2009
RBC CAPITAL MARKETS, LLC
March 13, 2009 - May 11, 2009
RBC CAPITAL MARKETS, LLC
February 6, 2007 - March 13, 2009
FERRIS, BAKER WATTS, LLC
February 5, 2007 - March 13, 2009
FERRIS, BAKER WATTS, LLC
September 2, 2003 - January 22, 2007
KEYBANC CAPITAL MARKETS INC.
May 26, 2003 - January 22, 2007
KEYBANC CAPITAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/24/2022)
(3/26/2020)
(1/24/2025)
(3/26/2020)
(3/26/2020)
Exams
FINRA
Current Firm
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
CRD#: 21570 / SEC#: , 8-39058
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SHAREHOLDER COMMON | |
| CARROLL, TRACEY MARIA | PRESIDENT | 5841463 |
| HAGGERTY, SCOTT PETER | CHIEF EXECUTIVE OFFICER | 2619329 |
| HARTNETT, CHRISTINA A | CHIEF OPERATING OFFICER | 2672099 |
| MCGRATH, SHANE THOMAS | CHIEF COMPLIANCE OFFICER | 4458909 |
| SMIT, ROBERT PHILIP | FINOP, CFO | 2332366 |
| THOMSEN, JORDAN K | CHIEF LEGAL OFFICER AND SECRETARY | 2821664 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
Red Flags
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