Articles Tagged with Pruco Securities

Mario Telfair Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 7, 2019 indicate that former Florida-based Pruco Securities broker Mario Telfair recently resigned from a former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Telfair (CRD# 4912587).

Mario Telfair has spent six years in the securities industry and was most recently registered and was most recently registered with Pruco Securities in Tampa, Florida (2015-2017). Previous registrations include Signator Investors in Sarasota, Florida (2009-2010); AllState Financial Services in Tampa, Florida (2008-2009); and Northwestern Mutual Investment Services in Tampa, Florida (2005-2008). He has passed two securities industry examinations: SIE (Securities Industry Essentials Examination), which he obtained on June 14, 2017; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on July 15, 2015. He is currently not registered with any state or firm.

According to his BrokerCheck report, he recently resigned from his former employer in connection to alleged rule violations.

John O’GrodnickPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 15, 2018 indicate that Michigan-based Pruco Securities broker/adviser John O’Grodnick has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. O’Grodnick (CRD# 2516489).

John O’Grodnick has spent 23 years in the securities industry and has been registered with Pruco Securities in Highland Township, Michigan since February 2018. Previous registrations include AllState Financial Services in Walled Lake, Michigan (2016-2018); Summit Brokerage Services in Farmington Hills, Michigan (2015-2016); JP Turner & Company in Farmington Hills, Michigan (2007-2015); Bathgate Capital Partners in Farmington Hills, Michigan (2003-2006); Paulson Investment Company in Chicago, Illinois (2002-2003); JP Turner & Company in Atlanta, Georgia (2002); Schneider Securities in Denver, Colorado (2000-2002); Global Capital Securities Corporation in Englewood, Colorado (1995-2000); Everen Securities in St. Louis, Missouri (1994-1995); and SunAmerica Securities in Phoenix, Arizona (1994). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on September 24, 2007; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 29, 1994; Series 7 (General Securities Representative Examination), which he obtained on July 18, 1994; and Series 24 (General Securities Principal Examination), which he obtained on January 22, 1996. He is a registered broker and investment adviser with three US states: Arizona, Michigan, and Texas.

According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and two customer complaints that were closed or denied.

Vaughn Andrews-McKayPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 22, 2018 indicate that Connecticut-based Pruco Securities broker/adviser Vaughn Andrews-McKay has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Andrews-McKay (CRD# 6491985).

Vaughn Andrews-McKay has spent two years in the securities industry and was most recently registered with Pruco Securities in Shelton, Connecticut (2015-2018). He has no previous registrations. He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 10, 2015, and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 25, 2015. He is currently not registered with any state or firm.

According to his BrokerCheck report, Vaughn Andrews-McKay has been sanctioned by FINRA and was discharged from his former employer in connection to alleged rule violations.