Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
1985199019952000200520102015202020252 FIRMS2020 - 2025 (4 years)2 FIRMS2025 - Present (<1 year)BPRUCO SECURITIES, LLC. (CRD# 5685)1983 - 2020 (36 years)IAPRUDENTIAL FINANCIAL PLANNING ... (CRD# 5685)2002 - 2020 (17 years)
Disclosure(s)
View By:
9/16/2005
Customer Dispute
Denied
License(s)

State Registrations

B
Florida 1/24/2025
B
New Jersey 1/24/2025
B
Maryland 1/24/2025
IA
New Jersey 1/24/2025
B
New Hampshire 1/24/2025
B
Pennsylvania 1/24/2025
IA
New Hampshire 1/24/2025

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
OSAIC WEALTH, INC. (CRD#:23131)
ASHLAND, NH
Registered with this firm since 1/24/2025
B
OSAIC WEALTH, INC. (CRD#:23131)
ASHLAND, NH
Registered with this firm since 1/24/2025
Previous Registration(s)
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IA
 02/03/2020 - 01/24/2025 OSAIC FA, INC. (CRD#:3978) ASHLAND, NH
B
 02/03/2020 - 01/24/2025 OSAIC FA, INC. (CRD#:3978) ASHLAND, NH
IA
 06/21/2002 - 02/06/2020 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) MENDHAM, NJ
B
 05/13/1983 - 02/06/2020 PRUCO SECURITIES, LLC. (CRD#:5685) MENDHAM, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.