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MP

Michael Pileggi

PRUDENTIAL ANNUITIES DISTRIBUTORS,
Fort Washington, PA 19034
Some features on this profile are disabled
CRD#: 6711320
MP

Professional summary

Michael Pileggi, who also goes by Michael Ryan Pileggi, Michael Pileggi, is a registered financial professional currently at PRUDENTIAL ANNUITIES DISTRIBUTORS, INC located in Fort Washington, Pennsylvania and PRUCO SECURITIES, LLC. located in Fort Washington, Pennsylvania.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2016. Michael has worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Ryan Pileggi | Michael Pileggi

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Pileggi's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 19, 2016 - Present

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

Office #1: 600 Office Center Drive, Fort Washington, PA 19034
BD
CRD#: 21570
Fort Washington, PA
Current

July 31, 2019 - Present

PRUCO SECURITIES, LLC.

Office #1: 600 Office Center Drive, Fort Washington, PA 19034
RIA
BD
CRD#: 5685
Fort Washington, PA

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, 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
RR
Series 63
Date: 11/21/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 10/19/2016
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PRUCO SECURITIES, LLC.
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

PRUCO SECURITIES, LLC (3/25/2025)

Direct owners and executive officers

NamePositionCRD#
THE PRUDENTIAL INSURANCE COMPANY OF AMERICASOLE MEMBER
DEPEW, SCOTT EMORYELECTED MANAGER2820574
FELICIANO, DEXTER MICHAELPRESIDENT5483537
FLORIO, KELLY NICOLEANTI-MONEY LAUNDERING OFFICER6446272
FONTANO, ANTHONY MICHAELELECTED MANAGER6852155
HYNES, PATRICK LIAMCHAIRMAN, ELECTED MANAGER2748918
MCGRATH, SHANE THOMASCHIEF COMPLIANCE OFFICER4458909
SMIT, ROBERT PHILIPCHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, CONTROLLER, PRINCIPAL OPERATIONS OFFICER2332366
THOMSEN, JORDAN KARSTENCHIEF LEGAL OFFICER2821664

Disclosures

Regulatory Event30
Arbitration13
Bond2

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/27/2025
Cover Page
Report
12/22/2023
Cover Page
Report
12/22/2023
Cover Page
Report

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.

Company Information

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

CRD#: 5685Fort Washington, PA 19034

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