MP
Michael A. Pinotti
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CRD#: 7062120
MP
Michael Albert Pinotti
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.
Michael Albert Pinotti, who also goes by Michael A Pinotti, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2019. Michael had worked at 1 firm and has passed the Series 66, Series 63, Series 7TO, Series 6TO and SIE exams.
Aliases
Michael A Pinotti
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.
RISING JOY BAND, AKA RJ BAND POSITION: I am the owner. NATURE: Arts, Entertainment, and Recreation INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 10/26/2009 ADDRESS: 416 Bear Avenue South, Vadnais Heights MN 55127 DESCRIPTION: I locate venues that need musicians and then have them hire our band.; MATTHEW P. BARNES, 1704 N RIVERFRONT DR #102, MANKATO, MN 56001 IS A GENERAL AGENT FOR BLUE CROSS BLUE SHIELD OF MN. POSITION: Agent to service and sell health insurance. NATURE: Healthcare and Social Assistance INVESTMENT RELATED: No NUMBER OF HOURS: 32 SECURITIES TRADING HOURS: 8 START DATE: 03/09/2020 ADDRESS: 1704 N Riverfront Dr #102, Mankato MN 56001, DESCRIPTION: Service customer with health insurance questions; NEISHLOSS & FLEMING, LLC POSITION: Independent Agent NATURE: Healthcare and Social Assistance INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 0 START DATE: 09/21/2020 ADDRESS: 501 Technology Drive, Suite 2100, Canonsburg PA 15317; DESCRIPTION: To sell health, dental, vision, and accident insurance. ASSURANCE IQ 10500 NE 8TH ST, SUITE1450 BELLEVUE, WA 98004 POSITION: Agent NATURE: Healthcare and Social Assistance INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 10/27/2020 ADDRESS: 10500 NE 8th St, Suite 1450,Bellevue WA 98004 ;DESCRIPTION: Sell short-term medical products. LECLAIR GROUP6701 UPPER AFTON ROADSAINT PAUL, MN 55125 POSITION: Health Insurance Agent NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 6 START DATE: 02/04/2021 ADDRESS: 6701 Upper Afton Road, Saint Paul MN 55128,DESCRIPTION: Sell Health Insurance. RITTER INSURANCE MARKETING, LLC. POSITION: Agent. NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 02/05/2021 ADDRESS: 2605 Interstate Drive, Harrisburg PA 17110,DESCRIPTION: Sell health insurance. COPELAND INSURANCE GROUP POSITION: Agent NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 05/28/2021 ADDRESS: 1203W Loop 281, Longview TX 75604,DESCRIPTION: Sell health insurance. INTEGRITY HEALTH INSURANCE MIDWEST.COM POSITION: It is a dba name/website for health insurance. It is compliant with the requirements issued by the Center for Medicare Services for a health insurance website. NATURE: Healthcare and Social Assistance INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/01/2019 ADDRESS: 416 Bear Avenue South, Vadnais Heights MN 55127, United States DESCRIPTION: Maintaining a CMS approved website. AUTHOR POSITION: I am publishing one book for sure. After the first on a second one will be published; it will be a workbook. None of the books that are planned to be published contain any direct financial planning or investment information. NATURE: Arts, Entertainment, and Recreation INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 5 START DATE: 07/03/2023 ADDRESS: 416 Bear Avenue South, Vadnais Heights MN 55127, United States DESCRIPTION: I am writing the books.
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 9, 2019 - February 2, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Vadnais Heights, MN
Past
March 7, 2019 - February 2, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Vadnais Heights, MN
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
What does exam status mean?
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
PR
Series 7TO
Passed: 5/17/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
PR
Series 6TO
Passed: 3/6/2019
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
Small
# of Employees
272
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 | |
| DEPEW, SCOTT EMORY | ELECTED MANAGER | 2820574 |
| FELICIANO, DEXTER MICHAEL | PRESIDENT | 5483537 |
| FONTANO, ANTHONY MICHAEL | ELECTED MANAGER | 6852155 |
| HYNES, PATRICK LIAM | CHAIRMAN, ELECTED MANAGER | 2748918 |
| KHAN, TIFFANY | ANTI-MONEY LAUNDERING OFFICER | 7649686 |
| MCGRATH, SHANE THOMAS | CHIEF COMPLIANCE OFFICER | 4458909 |
| 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.
