SI
Steve Iezzi
Some features on this profile are disabled
CRD#: 7529528
SI
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.
Steve Iezzi, who also goes by Steven Iezzi, was a registered financial professional .
Steve is a previously registered financial professional and started their career in finance in 2022. Steve had worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Steven Iezzi
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.
COMPLETE LOGISTICAL SERVICES POSITION: Dynamic Positioning Officer on Vessel NATURE: Charge of vessel station keeping INVESTMENT RELATED: No NUMBER OF HOURS: 84 SECURITIES TRADING HOURS: 30 START DATE: 08/05/2021 ADDRESS: 8320 Lafitte Ct, Chalmette LA 70043, United States DESCRIPTION: Monitor ship computersto ensure vessel stays over wellhead?. PEDAL CRUISE CONNECTICUT POSITION: Boat Captain NATURE: Entertainment INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2022 ADDRESS: Shipyard Lane, Milford CT 06460, United States DESCRIPTION: Boat Driver PRIME OCEAN GROUP POSITION: Captain/Dynamic Positioning Officer NATURE: Dynamic Positioning Officer/Captain INVESTMENT RELATED: No NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 20 START DATE: 12/09/2022 ADDRESS: 26400 Kuykendahl Rd, The Woodlands TX 77375, United States DESCRIPTION: I either run a navigational watch on the ship/oil rig or am a dynamic positioning officer keeping it on station over wellhead. EIMC-GLOBAL SUPPLY CHAIN EXPERTS POSITION: Risk Manager / Surveyor NATURE: Risk Management / Project Management INVESTMENT RELATED: No NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 60 START DATE: 02/06/2023 ADDRESS: 111 Town Square Place, Suite 1518, Jersey City NJ 07310, United States DESCRIPTION: Supervising and providing guidance for marine transportation of cargo from ships.
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
September 26, 2022 - March 7, 2023
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
SHELTON, CT
Past
June 7, 2022 - March 7, 2023
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
SHELTON, CT
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
General Industry/Product Exam
RR
Series 7TO
Date: 6/7/2022
General Securities 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
