Paul M. Tierney
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.
Paul Martin Tierney, who also goes by Paul M Tierney, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 2004. Paul had worked at 9 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
December 3, 2015 - May 23, 2016
PRUCO SECURITIES, LLC.
July 13, 2015 - November 19, 2015
TD AMERITRADE, INC.
July 13, 2015 - November 19, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 13, 2015 - November 19, 2015
TD AMERITRADE, INC.
January 21, 2014 - August 14, 2014
CETERA INVESTMENT ADVISERS LLC
August 20, 2013 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
August 20, 2013 - August 14, 2014
CETERA INVESTMENT SERVICES LLC
March 28, 2011 - December 19, 2012
MML INVESTORS SERVICES, LLC
March 28, 2011 - December 19, 2012
MML INVESTORS SERVICES, LLC
October 20, 2009 - July 1, 2010
AMERITAS INVESTMENT COMPANY, LLC
October 6, 2009 - July 1, 2010
AMERITAS INVESTMENT COMPANY, LLC
September 18, 2007 - February 6, 2008
PARK AVENUE SECURITIES LLC
February 15, 2007 - September 11, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
February 15, 2007 - September 11, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
May 3, 2005 - December 20, 2006
MML INVESTORS SERVICES, LLC
May 3, 2005 - December 20, 2006
MML INVESTORS SERVICES, LLC
July 8, 2004 - May 9, 2005
AMERITAS INVESTMENT COMPANY, 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.
