Gary Alt
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.
Gary Alt, who also goes by Gary E Alt, Gary Eugene Alt, Gary Alt, was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 2003. Gary had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 24, 2020 - September 14, 2022
PRUCO SECURITIES, LLC.
December 23, 2020 - September 7, 2022
PRUCO SECURITIES, LLC.
December 17, 2019 - March 2, 2020
FARMERS FINANCIAL SOLUTIONS, LLC
January 25, 2019 - May 6, 2020
FARMERS FINANCIAL SOLUTIONS, LLC
July 11, 2018 - October 8, 2018
PRIVATE ADVISOR GROUP, LLC
July 6, 2018 - October 5, 2018
LPL FINANCIAL LLC
May 30, 2017 - July 23, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 30, 2017 - July 23, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 11, 2016 - April 28, 2017
PNC WEALTH MANAGEMENT LLC
June 28, 2016 - April 28, 2017
PNC WEALTH MANAGEMENT LLC
September 4, 2015 - July 12, 2016
NATIONWIDE SECURITIES, LLC
October 1, 2014 - July 31, 2015
STATE FARM VP MANAGEMENT CORP.
January 23, 2014 - July 15, 2014
PRUCO SECURITIES, LLC.
August 26, 2011 - January 25, 2012
INNOVATION PARTNERS LLC
September 30, 2010 - August 11, 2011
MML INVESTORS SERVICES, LLC
February 17, 2009 - December 17, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 16, 2008 - December 17, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 3, 2005 - November 21, 2008
ALLSTATE FINANCIAL SERVICES, LLC
October 21, 2003 - February 8, 2005
METROPOLITAN LIFE INSURANCE COMPANY
October 21, 2003 - February 8, 2005
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.
