Michael S. Caruso
Professional summary
Michael Salvatore Caruso III, who also goes by Michael Salvatore Caruso, is a registered financial professional currently at PRUDENTIAL ANNUITIES DISTRIBUTORS, INC located in Irving, Texas.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2009. Michael has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Salvatore Caruso III's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 25, 2020 - Present
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
April 26, 2016 - March 31, 2020
PRUCO SECURITIES, LLC.
April 20, 2015 - April 27, 2016
KESTRA INVESTMENT SERVICES, LLC
November 2, 2009 - October 7, 2014
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/21/2022)
(12/2/2020)
(4/13/2020)
(1/24/2025)
(4/6/2020)
(4/16/2020)
(4/2/2020)
(4/13/2020)
Exams
FINRA
Current Firm
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
CRD#: 21570 / SEC#: , 8-39058
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SHAREHOLDER COMMON | |
| CARROLL, TRACEY MARIA | PRESIDENT | 5841463 |
| HAGGERTY, SCOTT PETER | CHIEF EXECUTIVE OFFICER | 2619329 |
| HARTNETT, CHRISTINA A | CHIEF OPERATING OFFICER | 2672099 |
| MCGRATH, SHANE THOMAS | CHIEF COMPLIANCE OFFICER | 4458909 |
| SMIT, ROBERT PHILIP | FINOP, CFO | 2332366 |
| THOMSEN, JORDAN K | CHIEF LEGAL OFFICER AND SECRETARY | 2821664 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
Red Flags
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