Thomas James Agosta
Professional Summary
Thomas James Agosta, who also goes by Thomas Agosta, Tom Agosta, Tommy Agosta, is a registered financial advisor currently at PRUCO SECURITIES, LLC. located in Newark, New Jersey. Thomas is registered as a RR (Registered Representative) and started their career in finance in 2024. Thomas has worked at 1 firm and has passed the Series 7TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas Agosta, Tom Agosta, Tommy Agosta
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
3 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
PRUCO SECURITIES CORPORATION | PRUDENTIAL FINANCIAL PLANNING SERVICES | PRUCO SECURITIES, LLC. | PRUCO SECURITIES, LLC
Contact Information
Main Address
751 Broad Street, Newark, NJ 07102-3777Mailing Address
751 Broad Street, Newark, NJ 07102-3777Phone Number
(973) 802-6000Established
New Jersey since 09/22/2003Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
272SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Part 2 Brochures
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
30Arbitration
13Bond
2Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | Cover Page | Report |
| 12/22/2023 | Cover Page | Report |
| 12/22/2023 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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Primary Firm SEC Registration
PRUCO SECURITIES CORPORATION | PRUDENTIAL FINANCIAL PLANNING SERVICES | PRUCO SECURITIES, LLC. | PRUCO SECURITIES, LLC
State Registrations and Notice Filings
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Thomas James Agosta's CRS (Customer Relationship Summary).
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