PRUDENTIAL FINANCIAL PLANNING SERVICES
PRUCO SECURITIES, LLC Legal Name
Adviser information for PRUDENTIAL FINANCIAL PLANNING SERVICES last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | New Jersey, United States |
Employees
| Total Number of Employees | 2700 |
|---|---|
| Investment Advisory/Research | 2700 |
| Registered Broker-Dealer Representatives | 2700 |
| Registered State Investment Advisers | 2700 |
| Licensed Agents of an Insurance Company | 2700 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 10,222 | $4.0B |
| Non-Discretionary | 103,353 | $12.4B |
| Total | 113,575 | $16.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 109,269 | $13.1B |
| HNW Individuals | 1,191 | $2.1B |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 285 | $147.8M |
| Other | 2,830 | $1.1B |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2286 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 2000 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsSelection of other advisers (including private fund managers)Educational seminars/workshops |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
| Other Business Activities | Broker-dealerInsurance broker or agent |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 7.2B |
| Portfolio Manager | 0 |
| Both for Same | 9.2B |
| Portfolio Manager to Program | Sponsor |
|---|---|
| PRUUMA | PRUDENTIAL FINANCIAL PLANNING SERVICES |
| PRUCHOICE | PRUDENTIAL FINANCIAL PLANNING SERVICES |
Principal Office
751 BROAD STREETNEWARK
NJ
United States
Monday - Friday, 9:00 A.M. TO 5:00 P.M.
Tel: 800-235-7637, Fax: 855-308-4434
Websites
www.prudential.com/office/noca-noca
www.prudential.com/office/trnl-trnl
www.prudential.com/office/tx01-tx01
www.facebook.com/prudentialchalfont/
www.facebook.com/waypointpartnersny/
www.prudential.com/office/cmda-cmda
www.prudential.com/office/detn-detn
www.facebook.com/mid-atlantic-financial-group-112548377135020
www.facebook.com/trinityfais/
www.facebook.com/meadowlandfinancialgroupllc/
www.prudential.com/office/bmrh-bmrh
www.prudential.com/office/mil6-mil6
www.prudential.com/office/phnw-phnw
www.prudential.com/office/ranr-ranr
www.prudential.com/office/alga-alga
www.prudential.com/office/copa-copa
www.prudential.com/office/lamr-lamr
www.prudential.com
www.facebook.com/prunewjersey/
www.facebook.com/park-cities-financial-advisory-107603907813184
www.facebook.com/empirecityfinancialgroup/
www.facebook.com/mfgfinancialgroup/
www.facebook.com/cambridge-financial-103757788065170
www.facebook.com/the-empire-city-financial-group-469612843613044
www.prudential.com/office/bxmt-bxmt
www.prudential.com/office/sara-sara
www.prudential.com/office/penn-penn
www.facebook.com/wellman-oeser-financial-services-113478350069743/
www.prudential.com/office/ahil-ahil
www.facebook.com/sestitofinancial/
www.facebook.com/kemblefinancialllc
www.facebook.com/kettering-insurance-financial-group-106271764426123
www.facebook.com/parity-capital-financial-345731442268627/
www.prudential.com/office/nval-nval
www.prudential.com/office/qbny-qbny
www.prudential.com/office/char-char
www.prudential.com/office/clm1-clm1
www.facebook.com/may-river-health-benefits-328283951392068
www.prudential.com/office/nack-nack
www.facebook.com/greatersouthwestfinancial/
www.facebook.com/urash-brumagin-and-associates-417812668830056
www.prudential.com/office/alha-alha
www.prudential.com/office/danv-danv
www.prudential.com/office/ncny-ncny
Chief Compliance Officer
CONWAY KWANG-WEI LEE
VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER
213 WASHINGTON STREET
NEWARK
NJ
United States
Tel:
973-367-7533
C*********@*************M
(Full email address available in API data)
Regulatory Contact
ANTHONY LAWRENCE MCELYNN
VICE PRESIDENT AND COMPLIANCE OFFICER
213 WASHINGTON STREET
NEWARK
NJ
United States
Tel:
973-802-3453
Fax:
973-367-8095
A**************@*************M
(Full email address available in API data)
Industry Affiliates
| AST INVESTMENT SERVICES, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| JENNISON ASSOCIATES | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| PGIM INVESTMENTS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| PGIM LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PGIM LUXEMBOURG S.A. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PGIM QUANTITATIVE SOLUTIONS | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| PGIM REAL ESTATE (UK) LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PGIM, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
| PRUCO LIFE INSURANCE COMPANY | Insurance company or agency |
| PRUCO LIFE INSURANCE COMPANY OF NEW JERSEY | Insurance company or agency |
| PRUDENTIAL ANNUITIES DISTRIBUTORS, INC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PRUDENTIAL SELECT STRATEGIES LLC | Other investment adviser, including financial planners |
| PRUDENTIAL TRUST COMPANY | Commodity pool operator or commodity trading advisorTrust company |
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | Other investment adviser, including financial plannersInsurance company or agency |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | Domestic Entity | – | SOLE MEMBER | 12/2000 | > 75% |
| PRUDENTIAL FINANCIAL, INC. | Domestic Entity | THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SOLE MEMBER | 12/2001 | > 75% |
| HYNES, PATRICK LIAM | Individual | – | ELECTED MANAGER | 11/2018 | < 5% |
| GAYLE, PETER CASEY | Individual | – | ELECTED MANAGER | 07/2017 | < 5% |
| FONTANO, ANTHONY MICHAEL | Individual | – | ELECTED MANAGER | 07/2017 | < 5% |
| HEARN, BRADFORD ONEIL | Individual | – | CHAIRMAN, ELECTED MANAGER | 12/2018 | < 5% |
| SMIT, ROBERT PHILIP | Individual | – | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, CONTROLLER | 02/2019 | < 5% |
| BEGUN, ROBERT NMN | Individual | – | PRESIDENT, PRINCIPAL OPERATIONS OFFICER | 01/2021 | < 5% |
| FELICIANO, DEXTER MICHAEL | Individual | – | CHIEF OPERATING OFFICER, VICE PRESIDENT, ELECTED MANAGER | 10/2019 | < 5% |
| MORAN, JULIA ELLEN | Individual | – | CHIEF LEGAL OFFICER | 09/2021 | < 5% |
| FLORIO, KELLY NICOLE | Individual | – | ANTI-MONEY LAUNDERING OFFICER | 12/2021 | < 5% |
| LEE, CONWAY KWANG-WEI | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2022 | < 5% |
| BUCKLEY, MOIRA MURPHY | Individual | – | ELECTED MANAGER | 08/2023 | < 5% |