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Investment Adviser Firm Summary

PRUCO SECURITIES, LLC (CRD# 5685 / SEC# 8-16402, 801-52208)
Alternate Names: PRUCO SECURITIES CORPORATION , PRUCO SECURITIES, LLC , PRUCO SECURITIES, LLC. , PRUDENTIAL FINANCIAL PLANNING SERVICES

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 06/28/1996

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 02/20/1997
Alaska 04/07/1997
Arizona 03/29/2012
Arkansas 01/07/1997
California 07/08/1997
Colorado 01/01/1999
Connecticut 11/04/1997
Delaware 08/11/2003
District of Columbia 01/03/1997
Florida 07/21/1986
Georgia 10/31/1996
Hawaii 07/15/1997
Idaho 01/06/1997
Illinois 12/13/1996
Indiana 02/16/2001
Iowa 01/01/1999
Kansas 12/18/1997
Kentucky 12/07/2001
Louisiana 10/15/2001
Maine 02/20/1997
Maryland 10/31/1997
Massachusetts 03/29/2012
Michigan 12/17/1999
Minnesota 10/07/1996
Mississippi 10/21/1997
Missouri 03/05/1997
Montana 02/10/1997
Nebraska 07/31/1997
Nevada 01/13/1997
New Hampshire 03/21/1997
New Jersey 12/15/1997
New Mexico 01/01/1997
New York 02/06/1996
North Carolina 02/15/2001
North Dakota 05/22/2000
Ohio 04/06/1999
Oklahoma 01/01/1998
Oregon 03/29/2012
Pennsylvania 11/26/2001
Rhode Island 01/01/1993
South Carolina 02/15/2001
South Dakota 12/04/1996
Tennessee 10/22/1997
Texas 03/31/1983
Utah 03/10/1998
Vermont 01/16/1997
Virginia 01/16/1997
Washington 11/04/1996
West Virginia 01/01/1997
Wisconsin 11/08/1996
Wyoming 07/07/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser