Louis R. Jicha
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.
Louis Ray Jicha was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1977. Louis had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 7, Series 1 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
June 13, 2003 - April 12, 2016
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
December 13, 2002 - June 13, 2003
PRUCO SECURITIES, LLC.
May 8, 2000 - December 13, 2002
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
April 8, 1998 - April 24, 2000
NATIONWIDE SECURITIES, LLC
March 27, 1987 - August 29, 1997
SECURITY DISTRIBUTORS
January 24, 1985 - March 5, 1987
A. G. EDWARDS & SONS, INC.
May 5, 1978 - January 29, 1985
PIPER SANDLER & CO.
July 20, 1977 - June 22, 1978
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
July 20, 1977 - June 22, 1978
SIGNATOR INVESTORS, INC.
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 15
Date: 9/13/1985
Foreign Currency Options ExaminationSeries 5
Date: 1/4/1983
Interest Rate Options ExaminationSeries 1
Date: 7/14/1977
Registered Representative ExaminationCurrent Firm
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
CRD#: 21570 / SEC#: , 8-39058
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SHAREHOLDER COMMON | |
| CARROLL, TRACEY MARIA | CHIEF OPERATING OFFICER | 5841463 |
| CARROLL, TRACEY MARIA | PRESIDENT | 5841463 |
| HAGGERTY, SCOTT PETER | CHIEF EXECUTIVE OFFICER | 2619329 |
| MCGRATH, SHANE THOMAS | CHIEF COMPLIANCE OFFICER | 4458909 |
| SMIT, ROBERT PHILIP | FINOP, CFO | 2332366 |
| THOMSEN, JORDAN K | CHIEF LEGAL OFFICER AND SECRETARY | 2821664 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
Red Flags
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