Kenneth A. Biederman
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 A Biederman, who also goes by Ken Biederman, Kenneth A Biederman, Kenneth Alan Biederman, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1978. Kenneth had worked at 12 firms and has passed the Series 63, Series 22TO, Series 6TO, SIE, Series 7, Series 1, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2021 - March 9, 2023
PRUCO SECURITIES, LLC.
June 16, 2021 - March 9, 2023
PRUCO SECURITIES, LLC.
November 25, 2019 - June 10, 2021
EQUITABLE ADVISORS, LLC
January 4, 2016 - December 31, 2017
CETERA WEALTH SERVICES, LLC
January 4, 2016 - December 31, 2017
CETERA WEALTH SERVICES, LLC
June 19, 2014 - December 10, 2015
MML INVESTORS SERVICES, LLC
September 24, 2012 - December 10, 2015
MML INVESTORS SERVICES, LLC
June 26, 2001 - August 20, 2012
ALLSTATE FINANCIAL SERVICES, LLC
February 26, 2001 - June 26, 2001
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 13, 2000 - June 26, 2001
WELLS FARGO INVESTMENTS, LLC
March 26, 1997 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
October 24, 1995 - December 31, 1996
AEGON USA SECURITIES INC.
November 7, 1990 - January 20, 1995
GROWTH SECURITIES, LTD.
April 28, 1988 - April 19, 1989
ROBERT W. BAIRD & CO. INCORPORATED
October 24, 1985 - April 19, 1989
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 24, 1978 - November 14, 1985
FBL MARKETING SERVICES, 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
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 8/17/1978
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.
