Robert L. Dible
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 Louis Dible was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1979. Robert had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 1 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2012 - January 31, 2019
PRUCO SECURITIES, LLC.
June 3, 2010 - August 12, 2011
STONEX SECURITIES INC.
October 2, 2007 - January 4, 2010
MSI FINANCIAL SERVICES, INC.
August 30, 2004 - October 10, 2007
PRINCIPAL SECURITIES, INC.
November 25, 1997 - September 2, 2004
METROPOLITAN LIFE INSURANCE COMPANY
November 25, 1997 - September 2, 2004
MSI FINANCIAL SERVICES, INC.
January 30, 1996 - November 6, 1997
NYLIFE SECURITIES LLC
April 20, 1993 - December 17, 1995
WOODBURY FINANCIAL SERVICES, INC.
February 14, 1991 - October 20, 1992
INVESTACORP, INC.
February 1, 1990 - October 17, 1991
GUARDIAN INVESTOR SERVICES LLC
May 27, 1983 - January 25, 1990
WS GRIFFITH SECURITIES, INC.
October 15, 1981 - December 28, 1982
FSC SECURITIES CORPORATION
October 20, 1980 - August 31, 1988
EQUITABLE ADVISORS, LLC
June 19, 1980 - December 23, 1981
PW SECURITIES, INC.
November 19, 1979 - March 19, 1981
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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: 11/8/1979
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.
