Jermaine K. Mcfarquhar
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.
Jermaine Kenneth Mcfarquhar, who also goes by Jermaine K Mcfarquhar, was a registered financial professional .
Jermaine is a previously registered financial professional and started their career in finance in 2013. Jermaine had worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2022 - July 21, 2026
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
February 16, 2021 - March 21, 2022
CUNA BROKERAGE SERVICES, INC.
May 29, 2019 - February 8, 2021
FIRST PALLADIUM, LLC
June 16, 2016 - December 4, 2017
MERCAP SECURITIES, LLC
May 15, 2015 - May 18, 2016
WELLS FARGO CLEARING SERVICES, LLC
August 30, 2013 - December 3, 2014
METLIFE INVESTORS DISTRIBUTION COMPANY
March 13, 2013 - July 3, 2013
WELLS FARGO CLEARING SERVICES, 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
Exams
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 | CHIEF OPERATING OFFICER | 5841463 |
| CARROLL, TRACEY MARIA | PRESIDENT | 5841463 |
| HAGGERTY, SCOTT PETER | CHIEF EXECUTIVE OFFICER | 2619329 |
| 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
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.
