Kenneth R. Adel
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.
Kenneth Roy Adel, who also goes by Ken Roy Adel, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1991. Kenneth had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2016 - February 28, 2018
PRUCO SECURITIES, LLC.
February 11, 2014 - April 6, 2015
OSAIC FA, INC.
September 24, 2012 - February 4, 2014
DAVID LERNER ASSOCIATES, INC.
September 13, 2006 - November 29, 2010
ALLSTATE FINANCIAL SERVICES, LLC
June 24, 2005 - September 1, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 8, 2005 - September 1, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 12, 2002 - May 15, 2003
MONY SECURITIES CORPORATION
May 24, 2000 - November 20, 2002
NYLIFE SECURITIES LLC
January 24, 1995 - December 22, 1999
1717 CAPITAL MANAGEMENT COMPANY
July 16, 1991 - January 25, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 16, 1991 - January 25, 1995
EQUITABLE ADVISORS, LLC
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
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.
