DW
Firm Information
Compensation
N/A
Number of Advisors
20 advisors
Number of Clients
Not specified
Average Client Portfolio
Not specified
Fee Structure
Financial Planning:Investment management only
Pruco Securities does not provide investment advisory or brokerage services to clients, so it does not have a fee schedule, bill clients, or deduct fees from client accounts.
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Advisor Information
Office location
Cazenovia, NY
Get directionsRegulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Pruco Securities, LLC
June 2021 - Present · 4 yrs 7 mos
Pruco Securities, LLC.
October 2018 - Present · 7 yrs 3 mos
Pruco Securities, LLC. Broker
October 2018 - Present · 7 yrs 3 mos
Previous Registrations
Prudential Customer Solutions LLC
October 2018 - July 2021 · 2 yrs 9 mos
Prudential Financial Planning Services
October 2018 - October 2018 · 0 mos
AXA Advisors, LLC Broker
December 2017 - August 2018 · 8 mos
AXA Advisors, LLC
November 2017 - August 2018 · 9 mos
E*trade Capital Management, LLC
January 2009 - August 2016 · 7 yrs 7 mos
E*trade Securities LLCBroker
January 2007 - August 2016 · 9 yrs 7 mos
Banc of America Investment Services, INC.
October 2004 - January 2007 · 2 yrs 3 mos
Banc of America Investment Services, INC.Broker
October 2004 - January 2007 · 2 yrs 3 mos
Quick & Reilly, INC.
September 2002 - October 2004 · 2 yrs 1 mo
Quick & Reilly, INC.Broker
June 2000 - October 2004 · 4 yrs 4 mos
TD Waterhouse Investor Services, INC.Broker
November 1996 - April 2000 · 3 yrs 5 mos
State Registrations2 states
NJNY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.