William R. Fowler
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.
William Rick Fowler, who also goes by W Rick Fowler, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1979. William had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7 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 2, 2013 - November 18, 2016
PRUCO SECURITIES, LLC.
July 12, 2004 - July 23, 2013
ALLSTATE FINANCIAL SERVICES, LLC
May 22, 2002 - October 31, 2003
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
February 8, 2001 - October 31, 2003
NYLIFE DISTRIBUTORS LLC
December 14, 1999 - October 31, 2000
FUNDS DISTRIBUTOR, LLC
July 7, 1997 - October 25, 1999
UNIFIED FINANCIAL SECURITIES, LLC
May 17, 1995 - June 19, 1997
PRUDENTIAL EQUITY GROUP, LLC
March 4, 1994 - April 19, 1994
MANULIFE WOOD LOGAN, INC.
November 11, 1991 - January 20, 1994
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
April 3, 1991 - September 4, 1991
SWIFT ENERGY MARKETING COMPANY
November 30, 1990 - April 1, 1991
TRANSAMERICA CAPITAL, LLC
February 5, 1990 - December 1, 1990
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
September 15, 1984 - December 19, 1989
LPL ENTERPRISE, LLC
August 10, 1982 - August 10, 1984
ENEX SECURITIES CORPORATION
April 15, 1981 - April 8, 1982
UBS FINANCIAL SERVICES INC.
July 27, 1979 - May 15, 1981
MOSELEY 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.
