Calvin Reed
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.
Calvin Reed was a registered financial professional .
Calvin is a previously registered financial professional and started their career in finance in 1981. Calvin had worked at 12 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 6, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2020 - December 22, 2020
PRUCO SECURITIES, LLC.
June 5, 2020 - December 22, 2020
PRUCO SECURITIES, LLC.
December 22, 2008 - November 6, 2009
MSI FINANCIAL SERVICES, INC.
August 15, 2007 - October 17, 2007
FIRST MIDWEST SECURITIES, INC.
April 3, 1998 - October 5, 2005
TD AMERITRADE, INC.
March 18, 1997 - October 24, 1997
SECURITIES AMERICA, INC.
January 2, 1997 - March 7, 1997
IDS LIFE INSURANCE COMPANY
January 2, 1997 - March 7, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
March 9, 1993 - January 20, 1997
KENNEDY, CABOT & CO.
November 2, 1992 - January 29, 1993
SOUTHERN CALIFORNIA SECURITIES, INC.
April 6, 1992 - August 17, 1992
KOBER FINANCIAL CORP.
January 1, 1991 - April 2, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
January 1, 1991 - April 2, 1991
PRUCO SECURITIES, LLC.
December 24, 1986 - April 10, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
January 9, 1981 - September 4, 1981
AMERIPRISE FINANCIAL SERVICES, LLC
January 9, 1981 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
January 9, 1981 - April 10, 1990
IDS LIFE INSURANCE COMPANY
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 7TO
Date: 6/5/2020
General Securities Representative ExaminationSeries 8
Date: 4/6/1999
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.
