KB
Kevin J. Black
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CRD#: 6151776
KB
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.
Kevin Joseph Black, who also goes by Kevin Joseph Black, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2013. Kevin had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kevin Joseph Black
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
HOSPICE OF CENTRAL OHIO POSITION: Board Member NATURE: Healthcare and Social Assistance INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2018 ADDRESS: 2269 Cherry Valley Rd, Newark OH 43055, United States DESCRIPTION: Attend Quarterly Board meetings and Finance Committee Meetings LICKING COUNTY PLANNING COMMISSION POSITION: Board Member NATURE: Government and Civic Body INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2018 ADDRESS: 20 South 2nd Street, Newark OH 43055, United States DESCRIPTION: Voting Board Member on property variance approvals and other issues brought to the board each month. OHIO'S HOSPICE POSITION: Board Member NATURE: Healthcare and Social Assistance INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2019 ADDRESS: 7575 Paragon Rd, Dayton OH 45459, United States DESCRIPTION: Attend quarterly board meetings LICKING COUNTY REPUBLICAN PARTY POSITION: Central Committee Member NATURE: Government and Civic Body INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2020 ADDRESS: 11626 Mt. Hope Rd, Glenford OH 43739, United States DESCRIPTION: Represents the Republican Party in the Bowling Green Township Precinct of Licking County, OH CITIZENS FOR KEVIN BLACK POSITION: Former House of Representative Candidate NATURE: Government and Civic Body INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2018 ADDRESS: 6306 Stoney HIll Rd, Newark OH 43056, United States DESCRIPTION: Former candidate for House of Representatives - campaign finance account only remains open to collect a loan that is still owed. Campaign AMERICAN HAULERS LLC POSITION: Owner NATURE: junk removal and dumpster rental INVESTMENT RELATED: No NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2021 ADDRESS: 11626 Mt. Hope Rd, Glenford OH 43739, United States DESCRIPTION: Ownership and operational duties
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
July 22, 2021 - September 12, 2022
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
CINCINNATI, OH
Past
June 30, 2021 - September 12, 2022
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
CINCINNATI, OH
Past
January 8, 2020 - May 6, 2021
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
Columbus, OH
Past
January 8, 2020 - May 6, 2021
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
Columbus, OH
Past
January 3, 2019 - January 10, 2020
OSAIC FA, INC.
RIA
CRD#: 3978
COLUMBUS, OH
Past
December 26, 2018 - January 10, 2020
OSAIC FA, INC.
BD
CRD#: 3978
COLUMBUS, OH
Past
June 11, 2013 - December 27, 2018
EDWARD JONES
RIA
CRD#: 250
PATASKALA, OH
Past
March 13, 2013 - December 27, 2018
EDWARD JONES
BD
CRD#: 250
PATASKALA, OH
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PRUCO SECURITIES, LLC.
PRUCO SECURITIES CORPORATION | PRUDENTIAL FINANCIAL PLANNING SERVICES | PRUCO SECURITIES, LLC. | PRUCO SECURITIES, LLC
CRD#: 5685 / SEC#: 801-52208, 8-16402
RIA
Registered Investment Advisory firm - SEC (6/28/1996 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
PRUCO SECURITIES, LLC.
PRUCO SECURITIES CORPORATION | PRUDENTIAL FINANCIAL PLANNING SERVICES | PRUCO SECURITIES, LLC. | PRUCO SECURITIES, LLC
CRD#: 5685 / SEC#: 801-52208, 8-16402
RIA
Registered Investment Advisory firm - SEC (6/28/1996 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
751 Broad Street, Newark, NJ 07102-3777
Mailing Address
751 Broad Street, Newark, NJ 07102-3777
Phone number
(973) 802-6000
Established
New Jersey since 09/22/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
387
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.
