Stephanie D. Thayer
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.
Stephanie Dawn Thayer, who also goes by Stephanie Dawn Tangonan, was a registered financial professional .
Stephanie is a previously registered financial professional and started their career in finance in 2007. Stephanie had worked at 6 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
June 25, 2019 - October 10, 2019
PRUCO SECURITIES, LLC.
May 28, 2019 - October 10, 2019
PRUCO SECURITIES, LLC.
September 17, 2014 - September 5, 2017
MORGAN STANLEY
September 17, 2014 - September 5, 2017
MORGAN STANLEY
August 11, 2011 - June 10, 2014
FREESTONE CAPITAL MANAGEMENT, LLC
August 11, 2011 - June 10, 2014
FREESTONE SECURITIES, LLC
August 13, 2010 - February 1, 2011
STATE FARM VP MANAGEMENT CORP.
May 21, 2009 - March 23, 2010
FREESTONE CAPITAL MANAGEMENT, LLC
May 21, 2009 - March 23, 2010
FREESTONE SECURITIES, LLC
March 11, 2008 - May 20, 2009
OPPENHEIMER & CO. INC.
November 19, 2007 - May 20, 2009
OPPENHEIMER & CO. 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.
