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Detailed Report
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2024 - Present (<1 year)BPRUCO SECURITIES, LLC. (CRD# 5685)1997 - 2024 (27 years)IAPRUDENTIAL FINANCIAL PLANNING ... (CRD# 5685)2000 - 2024 (24 years)
Disclosure(s)
View By:
3/5/2010
Customer Dispute
Denied
9/9/2004
Customer Dispute
Denied
License(s)

State Registrations

B
California 11/14/2024
B
New York 1/16/2025
B
Colorado 1/16/2025
B
North Carolina 12/20/2024
B
Florida 11/15/2024
B
Ohio 11/14/2024
B
Hawaii 11/14/2024
B
Oregon 1/2/2025
B
Illinois 11/14/2024
B
Pennsylvania 12/20/2024
IA
Illinois 11/14/2024
B
South Carolina 12/20/2024
B
Indiana 12/16/2024
B
Tennessee 1/2/2025
B
Maryland 12/16/2024
B
Texas 1/2/2025
B
Massachusetts 1/16/2025
B
Virginia 1/8/2025
B
Michigan 11/14/2024
B
Washington 11/14/2024
B
Missouri 12/19/2024
B
Wisconsin 1/16/2025
B
Nevada 1/8/2025

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
LPL ENTERPRISE, LLC (CRD#:8733)
NAPERVILLE, IL
Registered with this firm since 11/14/2024
B
LPL ENTERPRISE, LLC (CRD#:8733)
NAPERVILLE, IL
Registered with this firm since 11/14/2024
Previous Registration(s)
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IA
 08/23/2000 - 11/14/2024 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) NAPERVILLE, IL
B
 05/01/1997 - 11/14/2024 PRUCO SECURITIES, LLC. (CRD#:5685) NAPERVILLE, IL
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.