VC
Vikas Chandola
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CRD#: 6728892
VC
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.
Vikas Chandola, who also goes by Yikas Chandola, was a registered financial professional .
Vikas is a previously registered financial professional and started their career in finance in 2017. Vikas had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Yikas Chandola
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.
NAME: VIKAS CHANDOLA INV REL RENTAL PROPERTY POSITION: Owner NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2009 ADDRESS: 405 N. Wabash Avenue, Unit 5106, Chicago IL 60611, United States DESCRIPTION: Rental property owner HARVARD UNIVERSITY EXTENSION SCHOOL POSITION: Teaching Assistant NATURE: Educational Services INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2016 ADDRESS: 51 Brattle Street, Cambridge MA 02138, United States DESCRIPTION: Teaching Assistant for Graduate level classes - remote learning - most students are mid level executives in companies.Fall semesters - Teaching Assistant for Life Cycle and Supply Chain Sustainability class (ENVR E-151). Winter semester - Circular Economy course (ENVR E-158B) and Sustainable Business in the 21st century (ENVR E-135B). NEW EARTHB POSITION: Social Sustainability Consultant NATURE: Social Life Cycle Assessment consulting services and SHDB software licensing INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2015 ADDRESS: 11 Lois Lane, York ME 03909, United States DESCRIPTION: Provide Social Sustainability Consulting to organizations seeking an understanding of the social impacts of their product and services and mapping the impacts to UN SDG goals. UNITED NATIONS ENVIRONMENTAL PROGRAMME POSITION: Volunteer and Contributing Author NATURE: Non-Profit and Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2017 ADDRESS: 1 rue Miollis, Paris , United States DESCRIPTION: Contributing author to the recently published Social Life Cycle Assessment Guidelines document published by UNEP and assist an international conglomerate in a pilot for implementing the guidelines document.
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
February 19, 2021 - March 9, 2022
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
DOWNERS GROVE, IL
Past
February 19, 2021 - March 9, 2022
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
DOWNERS GROVE, IL
Past
March 16, 2020 - February 17, 2021
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
DOWNERS GROVE, IL
Past
January 15, 2020 - February 17, 2021
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
DOWNERS GROVE, IL
Past
July 21, 2017 - January 17, 2020
NYLIFE SECURITIES LLC
BD
CRD#: 5167
SCHAUMBURG, IL
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
State Security Law Exam
General Industry/Product 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.
