Donald A. Panuski
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.
Donald Ambrose Panuski, who also goes by Donald A Panuski, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1987. Donald had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2015 - January 13, 2017
PRUCO SECURITIES, LLC.
January 30, 2014 - August 29, 2014
MML INVESTORS SERVICES, LLC
March 7, 2005 - May 7, 2008
WELLS FARGO INVESTMENTS, LLC
March 7, 2005 - May 7, 2008
WELLS FARGO INVESTMENTS, LLC
July 8, 1997 - April 11, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 22, 1997 - April 11, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 21, 1994 - December 19, 1996
MML INVESTORS SERVICES, LLC
January 1, 1992 - August 5, 1992
J.P. MORGAN SECURITIES INC.
June 26, 1987 - January 1, 1992
MANUFACTURERS HANOVER SECURITIES CORPORATION
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.
