Kevin W. Schoening
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.
Kevin William Schoening was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1980. Kevin had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22, Series 3, Series 18, Series 15, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2017 - February 21, 2018
PRUCO SECURITIES, LLC.
August 3, 2017 - February 21, 2018
PRUCO SECURITIES, LLC.
April 9, 2014 - July 28, 2014
KBS CAPITAL MARKETS GROUP LLC
February 7, 2005 - April 15, 2005
COUCH FINANCIAL SERVICES, INC.
October 4, 2000 - March 16, 2001
U.S. BANCORP INVESTMENTS, INC.
June 5, 2000 - March 27, 2001
PIPER SANDLER & CO.
May 1, 1997 - May 25, 2000
PRUDENTIAL EQUITY GROUP, LLC
June 20, 1994 - March 7, 1997
NOMURA SECURITIES INTERNATIONAL, INC.
July 13, 1993 - June 13, 1994
INTERCAL SECURITIES CO.
March 30, 1989 - May 6, 1989
BANCAMERICA SECURITIES, INC.
December 13, 1985 - March 23, 1987
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
December 24, 1980 - September 7, 1983
UBS FINANCIAL SERVICES INC.
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 18
Date: 3/15/1986
Securities Industry Rules and Regulations ExaminationSeries 15
Date: 2/23/1983
Foreign Currency Options ExaminationSeries 8
Date: 12/21/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current 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.
