Thomas C. Licata
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.
Thomas Christopher Licata, who also goes by Thomas Christophe Licata, Tom Christopher Licata, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1979. Thomas had worked at 13 firms and has passed the Series 63, 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
April 13, 2015 - December 8, 2015
PRUCO SECURITIES, LLC.
November 5, 2012 - April 9, 2013
M&T SECURITIES, INC.
March 6, 2012 - November 6, 2012
MSI FINANCIAL SERVICES, INC.
June 1, 2005 - September 8, 2010
MML INVESTORS SERVICES, LLC
September 10, 2001 - May 20, 2005
MONY SECURITIES CORPORATION
March 14, 1995 - October 16, 2001
EQUITY SERVICES, INC.
November 4, 1989 - March 1, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
November 4, 1989 - March 1, 1995
SIGNATOR INVESTORS, INC.
February 14, 1989 - July 14, 1989
A. G. EDWARDS & SONS, INC.
August 19, 1987 - March 6, 1989
LEHMAN BROTHERS INC.
November 13, 1986 - July 23, 1987
NORTH AMERICAN INVESTMENT CORP.
January 8, 1985 - November 25, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
January 8, 1985 - November 26, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
March 5, 1979 - February 4, 1985
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
March 5, 1979 - February 8, 1985
SIGNATOR INVESTORS, 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: 2/24/1979
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.
