# PRUCO SECURITIES, LLC

PRUCO SECURITIES, LLC of NEWARK, NJ is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 5685
- Type: SEC-registered investment adviser
- SEC file number: 801-52208
- Location: 751 BROAD STREET, NEWARK, NJ, 07102-3777
- Phone: 973-802-6000
- Latest filing: 2026-05-19
- Clients: 272

## Business model

- Compensation: Other
- Clients served: Charities

## Officers, owners & control persons (87)

_Showing 25 of 87 people._

| Name | Role | Location |
| --- | --- | --- |
| Wilson James | VICE PRESIDENT; VICE PRESIDENT AND DIRECTOR | Houston, TX |
| Howard Michael | DIRECTOR & VICE PRESIDENT; MANAGER & VICE PRESIDENT | Vancouver, A1 |
| Patrick Liam Hynes | CHAIRMAN, ELECTED MANAGER; ELECTED MANAGER | — |
| Anthony Michael Fontano | ELECTED MANAGER | — |
| Robert Philip Smit | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, CONTROLLER, PRINCIPAL OPERATIONS OFFICER | — |
| Dexter Michael Feliciano | CHIEF OPERATING OFFICER, VICE PRESIDENT, ELECTED MANAGER; PRESIDENT | — |
| Kelly Nicole Florio | ANTI-MONEY LAUNDERING OFFICER | — |
| Paranj Patel | CHIEF COMPLIANCE OFFICER | — |
| Jordan Karsten Thomsen | CHIEF LEGAL OFFICER | — |
| Robert Nmn Begun | PRESIDENT | — |
| Bradford Oneil Hearn | CHAIRMAN, ELECTED MANAGER | — |
| PELLETIER STEPHEN | MANAGER | — |
| HERRMANN DAVID PAUL | MANAGER | — |
| CHAPLIN C EDWARD | TREASURER; VICE PRESIDENT & TREASURER | — |
| PRICE JAMES DALE | DIRECTOR | — |
| AVERY JAMES JOHN JR | DIRECTOR; MANAGER | — |
| ODENATH DAVID ROEHNER JR | DIRECTOR; MANAGER | — |
| GREENE JOHN WARREN JR | CHAIRMAN OF THE BOARD; CHARIMAN OF THE BOARD OF DIRECTORS; DIRECTOR | — |
| SHAINBERG ANDREW MEAD | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | — |
| GORDON JOHN GEORGE | ELECTED MANAGER; ELECTED MANAGER, PRESIDENT; ELECTED MANAGER, PRESIDENT & CHIEF OPERATING OFFICER (+4 more) | — |
| RUSSO BERNARD FRANK | FINANCIAL OPERATIONS PRINCIPAL,COMPTROLLER & CHIEF FINANCIAL OFFICER; VICE PRESIDENT, CONTROLLER & CHIEF FINANCIAL OFFICER; VP, CONTROLLER, CHIEF FINANCIAL OFFICER & FINANCIAL & OPERATIONS PRINCIPAL | — |
| RICE JUDY ANN | DIRECTOR; MANAGER | — |
| HUG MARK ANTHONY | VICE PRESIDENT & MANAGER | — |
| BOUCHER FRANCINE B | VICE PRESIDENT, CHIEF LEGAL OFFICER & SECRETARY | — |
| JACOB BERNARD JOSEPH | TREASURER | — |


## Disclosures (223)

_Showing 10 of 21 distinct disclosure events._

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2025-12-03 | regulatory | THE MARYLAND INSURANCE ADMINISTRATION ALLEGED VIOLATIONS OF MARYLAND ? 27-208 RESULTING FROM THE DENIAL OF AN APPLICATION FOR A TERM LIFE POLICY. | Final | $1K |
| 2024-10-28 | regulatory | THE CALIFORNIA DEPARTMENT OF INSURANCE DEPARTMENT CONDUCTED AN EXAMINATION OF PRUDENTIAL LIFE INSURANCE COMPANY OF AMERICA (PICA). THE EXAMINATION FOCUSED ON CLAIMS PROCESSING DURING THE PERIOD OF 07/01/2019 TO 06/30/2020. THE EXAMINATION REVEALED CERTAIN INSTANCES IN WHICH THE COMPANY'S PRACTICES M… | Final | $500K |
| 2024-05-30 | regulatory | THE PENNSYLVANIA INSURANCE DEPARTMENT CONDUCTED A MARKET CONDUCT EXAMINATION OF PRUDENTIAL LIFE INSURANCE COMPANY OF AMERICA (PICA). THE EXAMINATION FOCUSED ON THE GROUP INSURANCE DISABILITY AND OTHER HEALTH LINES OF BUSINESS WRITTEN BY THE COMPANY IN PENNSYLVANIA FROM 01/01/2019 THROUGH 06/01/2022.… | Final | $25K |
| 2024-03-01 | regulatory | THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (PICA) HELD A SWEEPSTAKES IN SEPTEMBER 2022 WHERE THE PRIZE WAS A FULLY PAID $25,000 WHOLE LIFE INSURANCE POLICY, WHICH WAS OPEN TO WASHINGTON CONSUMERS, AND WITHOUT ANY REQUIREMENT TO PURCHASE/RENEW OR RECEIVE SOLICITATION FROM PICA OR ANY AFFILIATE. THE… | Final | $45K |
| 2023-07-19 | regulatory | MAINE OFFICE OF SECURITIES ALLEGED THAT THE FIRM FAILED TO CONDUCT AN ON-SITE BRANCH OFFICE INSPECTION OF ITS MAINE BRANCH OFFICES IN 2022, IN VIOLATION OF MAINE ORDER 2021-12 AND RULE CHAPTER 504 (7)(4)(B). | Final | $3K |
| 2021-04-16 | regulatory | DEPARTMENT'S EXAMINATION WAS CONDUCTED TO EVALUATE THE COMPANY'S COMPLIANCE WITH VARIOUS STATUTES AND REGULATIONS, PARTICULARLY RELATING TO GUARANTEED GROUP ANNUITY CONTRACTS. THE EXAMINATION REVEALED CERTAIN INSTANCES IN WHICH THE COMPANY'S PRACTICES MAY NOT HAVE ACCORDED WITH THE COMPANY'S PROCESS… | Final | $1.2M |
| 2020-12-23 | regulatory | ON DECEMBER 23, 2020, PRUCO SECURITIES, LLC ("PRUCO") ENTERED INTO A SETTLEMENT WITH THE SECURITIES AND EXCHANGE COMMISSION ("SEC") RESULTING IN THE SEC ISSUING AN ADMINISTRATIVE ORDER (THE "ORDER"). PRUCO CONSENTED TO THE ENTRY OF THE ORDER, WHICH FOUND THAT PRUCO VIOLATED SECTIONS 206(2) AND 206(4… | Final | $2.5M |
| 2020-09-30 | regulatory | THE ILLINOIS DEPARTMENT OF INSURANCE (IL DOI) CONDUCTED A ROUTINE MARKET CONDUCT EXAMINATION OF PRUDENTIAL LIFE INSURANCE COMPANY OF AMERICA(PICA), PRUDENTIAL LIFE INSURANCE COMPANY (PLAZ) AND PRUDENTIAL ANNUITIES AND LIFE ASSURANCE COMPANY(PALAC - NOTE PALAC WAS ACQUIRED BY FORTITUDE GROUP HOLDINGS… | Final | $50K |
| 2020-08-04 | regulatory | THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, PRUDENTIAL ANNUITIES LIFE ASSURANCE CORPORATION AND PRUCO LIFE INSURANCE COMPANY (COLLECTIVELY, "PRUDENTIAL") AND THE SOUTH DAKOTA DIVISION OF INSURANCE HAVE ENTERED INTO AN AGREEMENT TO RESOLVE A MATTER IN WHICH POSITIVE ACCOUNT VALUES WERE PROVIDED ON F… | Final | $3K |
| 2019-12-12 | regulatory | THE PRUDENTIAL INSURANCE COMPANY OF AMERICA AND THE OREGON DIVISION OF FINANCIAL REGULATION HAVE ENTERED INTO AN AGREEMENT TO RESOLVE A MATTER IN WHICH CERTAIN NON-PRUDENTIAL INDIVIDUAL LIFE INSURANCE CUSTOMERS IN OREGON DID NOT RECEIVE IN A TIMELY MANNER ANNUAL STATEMENTS, WHICH WERE TO BE SENT BY… | Final | $30K |


## Branch offices (4)

| City | State | Employees | Phone |
| --- | --- | --- | --- |
| MINNEAPOLIS | MN | 0 | 763-553-5803 |
| FORT WASHINGTON | PA | 0 | 973-802-2073 |
| NEWARK | NJ | 0 | 973-802-5092 |
| NEWARK | NJ | 0 | 973-802-6000 |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/5685/brochure
- Similar advisers: https://search.stillhousedata.com/firm/5685/similar
- Related entities: https://search.stillhousedata.com/firm/5685/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/5685

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.