MG
Manuel Gomez
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CRD#: 7037029
MG
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.
Manuel Gomez, who also goes by Manny Gomez, was a registered financial professional .
Manuel is a previously registered financial professional and started their career in finance in 2018. Manuel had worked at 2 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Manny Gomez
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.
CALIFORNIA DEPARTMENT OF REAL ESTATE POSITION: Real Estate Salesperson Licensee NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/10/2021 ADDRESS: 1651 Exposition Blvd, Sacramento CA 95815, United States DESCRIPTION: NA. I am not affiliated with a real estate broker. I will not be conducting business with my real estate license. OAKLEY POSITION: Assembler NATURE: Manufacturing INVESTMENT RELATED: No NUMBER OF HOURS: 180 SECURITIES TRADING HOURS: 130 START DATE: 09/05/2023 ADDRESS: 1 Icon, Foothill Ranch CA 92610, United States DESCRIPTION: assembling sunglasses WALT DISNEY COMPANY POSITION: Cast Member for the Resort Transportation and Parking department. NATURE: Arts, Entertainment, and Recreation INVESTMENT RELATED: No NUMBER OF HOURS: 32 SECURITIES TRADING HOURS: 0 START DATE: 09/02/2023 ADDRESS: 1313 S Disneyland Dr, Anaheim CA 92802, United States DESCRIPTION: I will be directing vehicles to the designated parking areas and answering guest questions.
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
May 11, 2023 - October 4, 2023
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
ORANGE, CA
Past
March 16, 2023 - October 4, 2023
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
ORANGE, CA
Past
December 20, 2018 - October 8, 2020
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
SANTA ANA, CA
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
RR
Series 7TO
Date: 3/16/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 12/20/2018
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
