Lateef T. Warnick
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.
Lateef Terrell Warnick, who also goes by Lateef T Warnick, Lateef Warnick, was a registered financial professional .
Lateef is a previously registered financial professional and started their career in finance in 2007. Lateef had worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 2015 - April 25, 2016
PRUCO SECURITIES, LLC.
December 4, 2015 - April 25, 2016
PRUCO SECURITIES, LLC.
January 5, 2015 - December 14, 2015
ALLSTATE FINANCIAL ADVISORS, LLC
December 11, 2014 - December 14, 2015
ALLSTATE FINANCIAL SERVICES, LLC
August 1, 2014 - October 3, 2014
PRINCIPAL SECURITIES, INC.
July 1, 2014 - October 3, 2014
PRINCIPAL SECURITIES, INC.
December 20, 2011 - November 13, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 6, 2011 - November 13, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 28, 2008 - July 29, 2010
USAA FINANCIAL PLANNING SERVICES
April 28, 2008 - July 29, 2010
USAA FINANCIAL ADVISORS, INC.
July 16, 2007 - November 15, 2007
EDWARD JONES
June 7, 2007 - November 15, 2007
EDWARD JONES
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.
