Joshua Rhem
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.
Joshua Rhem, who also goes by Joshua A Rhem, Joshua Aaron Rhem, Joshua Rhem, was a registered financial professional .
Joshua is a previously registered financial professional and started their career in finance in 2009. Joshua had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 1, 2020 - February 9, 2021
PRUCO SECURITIES, LLC.
March 23, 2020 - February 9, 2021
PRUCO SECURITIES, LLC.
November 27, 2017 - April 22, 2019
CUSO FINANCIAL SERVICES, L.P.
November 27, 2017 - April 22, 2019
CUSO FINANCIAL SERVICES, L.P.
September 23, 2016 - July 25, 2017
PNC WEALTH MANAGEMENT LLC
September 23, 2016 - July 25, 2017
PNC WEALTH MANAGEMENT LLC
June 7, 2016 - September 15, 2016
WELLS FARGO CLEARING SERVICES, LLC
June 2, 2016 - September 15, 2016
WELLS FARGO CLEARING SERVICES, LLC
September 29, 2014 - March 15, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 24, 2014 - March 15, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 1, 2012 - August 28, 2014
J.P. MORGAN SECURITIES LLC
October 1, 2012 - August 28, 2014
J.P. MORGAN SECURITIES LLC
June 12, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 17, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
September 30, 2011 - March 19, 2012
M&T SECURITIES, INC.
February 17, 2011 - September 12, 2011
HSBC SECURITIES (USA) INC.
April 1, 2010 - February 9, 2011
CHASE INVESTMENT SERVICES CORP.
March 12, 2009 - January 21, 2010
MSI FINANCIAL SERVICES, 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.
