Julia M. Jordan
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.
Julia Mary Jordan, who also goes by Julia Mary Fiorini, Julia Mary Hardwick, was a registered financial professional .
Julia is a previously registered financial professional and started their career in finance in 2009. Julia had worked at 6 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
December 9, 2019 - March 9, 2020
PRUCO SECURITIES, LLC.
October 24, 2019 - March 9, 2020
PRUCO SECURITIES, LLC.
April 9, 2015 - August 31, 2017
TD AMERITRADE, INC.
April 7, 2015 - August 31, 2017
TD AMERITRADE, INC.
April 7, 2015 - August 31, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 8, 2014 - December 1, 2014
MERCER GLOBAL ADVISORS INC.
September 17, 2012 - October 1, 2014
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
August 29, 2012 - October 1, 2014
TD AMERITRADE, INC.
August 28, 2012 - October 1, 2014
TD AMERITRADE, INC.
April 6, 2010 - June 18, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 31, 2010 - June 18, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 25, 2009 - April 12, 2010
MORGAN STANLEY
October 30, 2009 - April 12, 2010
MORGAN STANLEY
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.
