Larry M. Courneya
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.
Larry Michael Courneya, who also goes by Mike Courneya, was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1980. Larry had worked at 7 firms and has passed the Series 63, Series 66, Series 65, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2018 - August 14, 2019
PRUCO SECURITIES, LLC.
February 20, 2015 - April 20, 2016
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
June 9, 2014 - December 31, 2014
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
December 9, 2013 - April 20, 2016
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
June 3, 2010 - December 22, 2011
FIRST COMMAND BROKERAGE SERVICES, INC.
July 20, 2004 - April 3, 2009
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
October 7, 2002 - July 15, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 28, 1990 - October 7, 2002
MILLER JOHNSON STEICHEN KINNARD, INC.
March 4, 1981 - October 8, 1990
JOHN G. KINNARD AND COMPANY, INCORPORATED
July 24, 1980 - March 27, 1981
DAIN RAUSCHER INCORPORATED
Primary Firm SEC Registration
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 11/6/2018
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
Contact information
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.
