Mark E. Hassel
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.
Mark Edward Hassel was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1980. Mark had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 2020 - November 2, 2021
PRUCO SECURITIES, LLC.
December 10, 2013 - December 31, 2018
BFC PLANNING, INC.
December 2, 2010 - December 10, 2013
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
December 1, 2010 - December 31, 2018
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
June 6, 2003 - December 22, 2010
LPL FINANCIAL LLC
June 6, 2003 - December 22, 2010
LPL FINANCIAL LLC
August 28, 2002 - June 10, 2003
QUICK & REILLY, INC.
September 21, 1995 - June 10, 2003
QUICK & REILLY, INC.
May 16, 1991 - June 13, 1994
AMERIPRISE ADVISOR SERVICES, INC.
March 20, 1987 - October 3, 1989
FIRST OF MICHIGAN CORPORATION
May 10, 1984 - April 2, 1987
LEHMAN BROTHERS INC.
September 23, 1980 - April 13, 1984
E. F. HUTTON & COMPANY 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
Series 8
Date: 4/15/1993
General Securities Sales Supervisor Examination (Options Module & General Module)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.
