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Rebecca L. Lackey

Some features on this profile are disabled
CRD#: 4952902
RL

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.

Rebecca L Lackey, who also goes by Rebecca L Lackey, Rebecca Lynn Lackey, Rebecca Lackey, Rebecca Lynn Lyford Mrs, Rebecca L Lyford, Rebecca Lynn Ramsay Miss, Rebecca L Ramsay, was a registered financial professional .

Rebecca is a previously registered financial professional and started their career in finance in 2005. Rebecca had worked at 9 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rebecca L Lackey | Rebecca Lynn Lackey | Rebecca Lackey | Rebecca Lynn Lyford Mrs | Rebecca L Lyford | Rebecca Lynn Ramsay Miss | Rebecca L Ramsay

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 27, 2019 - February 15, 2022

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
Plymouth, NH
Past

June 18, 2019 - February 15, 2022

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
Plymouth, NH
Past

April 13, 2018 - November 8, 2018

J. W. COLE ADVISORS, INC.

RIA
CRD#: 112294
Shallotte, NC
Past

April 13, 2018 - November 8, 2018

J.W. COLE FINANCIAL, INC.

BD
CRD#: 124583
Shallotte, NC
Past

February 19, 2018 - March 26, 2018

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
WILMINGTON, NC
Past

February 14, 2018 - March 26, 2018

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
WILMINGTON, NC
Past

July 14, 2011 - October 20, 2017

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
Bedford, NH
Past

April 6, 2010 - October 20, 2017

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
Bedford, NH
Past

July 31, 2009 - November 20, 2009

CANTELLA & CO., INC.

RIA
CRD#: 13905
PORTLAND, ME
Past

July 31, 2009 - November 20, 2009

CANTELLA & CO., INC.

BD
CRD#: 13905
PORTLAND, ME
Past

June 26, 2009 - July 28, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
PORTLAND, ME
Past

June 26, 2009 - July 28, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
PORTLAND, ME
Past

July 24, 2008 - June 3, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
PORTLAND, ME
Past

July 24, 2008 - June 3, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
PORTLAND, ME
Past

November 8, 2007 - July 7, 2008

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
MERRIMACK, NH
Past

August 12, 2005 - July 7, 2008

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
MERRIMACK, NH

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PRUCO SECURITIES, LLC.
PRUCO SECURITIES, LLC.
PRUCO SECURITIES CORPORATION | PRUDENTIAL FINANCIAL PLANNING SERVICES | PRUCO SECURITIES, LLC. | PRUCO SECURITIES, LLC

CRD#: 5685 / SEC#: 801-52208, 8-16402

RIA
Registered Investment Advisory firm - SEC (6/28/1996 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/28/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/18/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/28/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/11/2005
General Securities Representative Examination

Current Firm

PRUCO SECURITIES, LLC.
PRUCO SECURITIES, LLC.
PRUCO SECURITIES CORPORATION | PRUDENTIAL FINANCIAL PLANNING SERVICES | PRUCO SECURITIES, LLC. | PRUCO SECURITIES, LLC

CRD#: 5685 / SEC#: 801-52208, 8-16402

RIA
Registered Investment Advisory firm - SEC (6/28/1996 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
751 Broad Street, Newark, NJ 07102-3777
Mailing Address
751 Broad Street, Newark, NJ 07102-3777
Phone number
(973) 802-6000
Established
New Jersey since 09/22/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
387

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

PRUCO SECURITIES, LLC (3/25/2025)

Direct owners and executive officers

NamePositionCRD#
THE PRUDENTIAL INSURANCE COMPANY OF AMERICASOLE MEMBER
FELICIANO, DEXTER MICHAELPRESIDENT5483537
FLORIO, KELLY NICOLEANTI-MONEY LAUNDERING OFFICER6446272
FONTANO, ANTHONY MICHAELELECTED MANAGER6852155
HYNES, PATRICK LIAMCHAIRMAN, ELECTED MANAGER2748918
PATEL, PARANJCHIEF COMPLIANCE OFFICER4235738
SMIT, ROBERT PHILIPCHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, CONTROLLER, PRINCIPAL OPERATIONS OFFICER2332366
THOMSEN, JORDAN KARSTENCHIEF LEGAL OFFICER2821664

Disclosures

Regulatory Event30
Arbitration13
Bond2

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/27/2025
Cover Page
Report
12/22/2023
Cover Page
Report
12/22/2023
Cover Page
Report

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.

Company Information

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

CRD#: 5685

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