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Broker-dealer firm · Newark, NJ

Pruco Securities, LLC

SEC-registered investment adviser · CRD 5685 · SEC 801-52208

At a glance

Pruco Securities, LLC is an SEC-registered investment adviser based in Newark, New Jersey, with $0 in regulatory assets under management as of its Form ADV filed May 19, 2026. By Form ADV it is a broker-dealer firm, ranked 370th of 391 broker-dealer firms and 16,559th of 17,210 SEC-registered advisers by assets.

Main office 973-802-6000As filed on Form ADV

Regulatory AUM
$0M
Rank among broker-dealer firms
#370 of 391
Rank among all SEC RIAs
#16,559 of 17,210
Rank in New Jersey
#371 of 392
Clients
0
Accounts
0
Discretionary
0% of AUM
Employees
272
Advisory staff
4
Offices
5

Owners and executives on its Form ADV

Custody and brokerage

Custodian

Pruco Securities, LLC’s Form ADV lists no custodian for separately managed accounts. Firms report one only when they manage $10 million or more in those accounts.

Broker-dealer

Hybrid RIA

Pruco Securities, LLC is a hybrid RIA: 186 of its employees are also registered representatives of a broker-dealer. It names affiliated broker-dealers: Prudential Annuities Distributors, Inc and Prudential Investment Management Services LLC.

Its Form ADV brochure (filed March 2026) names LPL Financial as the broker-dealer its advisers are registered with.

Employees and independent contractors of Prudential offer investment advisory, in- surance, and securities brokerage services solely through LPL E in their capacity as registered representatives of LPL E.

Other hybrid RIAs

Disciplinary disclosures

Pruco Securities, LLC answers yes to 32 disclosure items in Item 11 of Form ADV (criminal, regulatory or civil matters involving the firm or its advisory affiliates). Read the details on the SEC’s adviser search ↗

Services

  • Selecting other advisers

How it’s paid

  • Other

Form ADV and brochures on the SEC’s adviser search ↗

AtlasMembers

The full record on Pruco Securities, LLC

Ten years of SEC filings, its owners and contacts, and how it stacks up against its peers. Atlas members see all of it.

Assets, accounts, clients and staff, ten years of filings
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Growth over one, three and five years
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Rank against 28 peers of its type and size
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Owners and executives, with titles and stakes
8 namedLocked
Main office, fax and compliance officer
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Filing changes this year, with alerts
3Locked
Open Atlas free

Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Background

Questions

How much does Pruco Securities, LLC manage?

Pruco Securities, LLC reports $0 in regulatory assets under management, on its Form ADV filed May 19, 2026.

What kind of firm is Pruco Securities, LLC?

Pruco Securities, LLC is a broker-dealer firm by its Form ADV answers. The firm is itself registered as a broker-dealer as well as an investment adviser. A public reporting company controls it.

Does Pruco Securities, LLC have any disciplinary history?

Pruco Securities, LLC answers yes to 32 disclosure items in Item 11 of Form ADV, which covers criminal, regulatory and civil matters involving the firm or its advisory affiliates. The details are on the SEC’s adviser search.

Where these numbers come from

Every figure is Pruco Securities, LLC’s own answer on its latest Form ADV, from the SEC’s registered-adviser list as of October 1, 2026: regulatory assets and accounts (Item 5.F), clients by type (5.D), employees (5.A and 5.B), compensation (5.E) and services (5.G). Custodians come from Schedule D 5.K(3) of its latest filing (2026-05-19), which lists those holding 10% or more of separately managed account assets and the amount at each. “Hybrid” means some employees are also registered representatives of a broker-dealer (Item 5.B(2)); affiliated broker-dealers are the related persons it lists in Item 7.A and Schedule D. Firm type comes from its own answers: broker-dealer firms are registered broker-dealers themselves (Item 6.A); private fund advisers manage mostly private funds (Item 7.B, 5.D); wealth managers manage at least half their assets for individuals (5.D). Ranks compare it by regulatory assets with every SEC-registered adviser and with firms of its type. Figures are as of the firm’s last annual update, so they can lag recent deals and market moves. Regulatory AUM counts assets the firm continuously supervises and can differ from what a firm markets.

Not an endorsement or a recommendation. Before hiring any adviser, read its Form ADV Part 2A brochure and check its record on the SEC’s adviser search. How to check a financial advisor →