Robert M. Haddad
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.
Robert Michael Haddad, who also goes by Bob Haddad, Robert M Haddad, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1977. Robert had worked at 8 firms and has passed the SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2012 - April 13, 2018
PRUCO SECURITIES, LLC.
April 30, 2009 - July 20, 2012
ALLSTATE FINANCIAL SERVICES, LLC
October 10, 2006 - January 29, 2008
HORNOR, TOWNSEND & KENT, LLC
April 22, 2004 - September 20, 2006
SIGNATOR INVESTORS, INC.
October 2, 2003 - January 20, 2004
METROPOLITAN LIFE INSURANCE COMPANY
October 2, 2003 - January 20, 2004
MSI FINANCIAL SERVICES, INC.
July 30, 2002 - February 20, 2003
MSI FINANCIAL SERVICES, INC.
June 28, 1995 - February 20, 2003
METROPOLITAN LIFE INSURANCE COMPANY
June 28, 1995 - February 20, 2003
MSI FINANCIAL SERVICES, INC.
December 6, 1993 - January 24, 1995
METROPOLITAN LIFE INSURANCE COMPANY
December 6, 1993 - January 24, 1995
MSI FINANCIAL SERVICES, INC.
October 28, 1992 - September 22, 1993
STUART STONE & CO., LLC
December 20, 1977 - November 21, 1990
G. R. PHELPS & CO., INC.
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 1
Date: 12/12/1977
Registered Representative ExaminationCurrent 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.
