James L. Dubuc
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.
James Lee Dubuc, who also goes by James Lee Dubuc, James Dubuc, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2007. James had worked at 8 firms and has passed the Series 66, SIE, Series 31 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
April 22, 2022 - November 9, 2022
PRUCO SECURITIES, LLC.
April 21, 2022 - November 9, 2022
PRUCO SECURITIES, LLC.
June 11, 2020 - April 7, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 11, 2020 - April 7, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 6, 2020 - March 24, 2020
NFSG CORPORATION
March 2, 2020 - March 24, 2020
NEWBRIDGE SECURITIES CORPORATION
February 6, 2018 - February 5, 2020
VALIC FINANCIAL ADVISORS, INC.
December 4, 2017 - February 5, 2020
VALIC FINANCIAL ADVISORS, INC.
November 26, 2012 - February 28, 2017
MULTI-BANK SECURITIES, INC.
July 28, 2010 - December 5, 2012
FINANCIAL NORTHEASTERN SECURITIES, INC.
September 26, 2008 - July 14, 2010
MULTI-BANK SECURITIES, INC.
July 8, 2008 - October 15, 2008
VALIC FINANCIAL ADVISORS, INC.
July 8, 2008 - October 15, 2008
VALIC FINANCIAL ADVISORS, INC.
September 18, 2007 - June 20, 2008
MORGAN STANLEY & CO. LLC
August 6, 2007 - June 20, 2008
MORGAN STANLEY & CO. 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.
