{
  "crd_number": 5685,
  "slug": "pruco-securities-llc-newark-nj-5685",
  "primary_business_name": "PRUCO SECURITIES, LLC",
  "legal_name": "PRUCO SECURITIES, LLC",
  "dbas": [],
  "city": "Newark",
  "state": "NJ",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1996-06-28",
  "years_registered": 30,
  "period": "2026-10-01",
  "filing_date": "2026-05-19",
  "carried_forward": false,
  "raum_total": null,
  "raum_discretionary": null,
  "raum_non_discretionary": null,
  "raum_band": "not_reported",
  "raum_band_label": "Not reported",
  "total_employees": 272,
  "advisory_employees": 4,
  "client_count_bucket": null,
  "clients_by_type": null,
  "compensation_types": [
    "other"
  ],
  "advisory_activities": [
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": false,
  "disclosure_yes_count": 7,
  "states_registered": [
    "AK",
    "AL",
    "AR",
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "HI",
    "IA",
    "ID",
    "IL",
    "IN",
    "KS",
    "KY",
    "LA",
    "MA",
    "MD",
    "ME",
    "MI",
    "MN",
    "MO",
    "MS",
    "MT",
    "NC",
    "ND",
    "NE",
    "NH",
    "NJ",
    "NM",
    "NV",
    "NY",
    "OH",
    "OK",
    "OR",
    "PA",
    "PR",
    "RI",
    "SC",
    "SD",
    "TN",
    "TX",
    "UT",
    "VA",
    "VT",
    "WA",
    "WI",
    "WV",
    "WY"
  ],
  "websites": [
    "https://prudential.com"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/5685",
  "disclosure_items": [
    {
      "item": "11.C(1)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?"
    },
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    },
    {
      "item": "11.D(1)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?"
    },
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    }
  ],
  "city_as_filed": "NEWARK",
  "url": "https://advisorcensus.com/firm/pruco-securities-llc-newark-nj-5685",
  "display_name": "Pruco Securities, LLC",
  "summary": "Pruco Securities, LLC is an SEC-registered investment advisory firm in Newark, NJ, registered since 1996, with no regulatory assets under management reported in its Form ADV filing dated May 19, 2026.",
  "citation": "AdvisorCensus. Pruco Securities, LLC (CRD 5685): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "Other"
  ],
  "advisory_activity_labels": [
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is Pruco Securities, LLC compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), Pruco Securities, LLC reports these compensation arrangements: other. The amounts are in Item 5 of its Form ADV Part 2A brochure."
    },
    {
      "q": "Where is Pruco Securities, LLC located?",
      "a": "Pruco Securities, LLC's principal office is in Newark, NJ, according to its Form ADV; the June 2026 filing also lists 3 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is Pruco Securities, LLC registered with the SEC or a state?",
      "a": "Pruco Securities, LLC is an SEC-registered investment advisory firm, registered since 1996. Status as filed: Approved. CRD 5685."
    },
    {
      "q": "How have Pruco Securities, LLC's assets and staff changed since 2021?",
      "a": "In the Form ADV data for Pruco Securities, LLC: Regulatory assets under management: $11,235,934,987 in the October 2021 data and $16,378,802,331 in the October 2024 data, up 46%. Total employees: 2,600 in October 2021 and 272 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "Does Pruco Securities, LLC report any disciplinary disclosures?",
      "a": "Reports 7 disclosure items on Form ADV Item 11: yes answers to 7 questions about regulatory matters (11.C(1), 11.C(2), 11.C(4), 11.C(5), 11.D(1), 11.D(2), 11.D(4)). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/5685"
    },
    {
      "q": "What changed in Pruco Securities, LLC's recent Form ADV filings?",
      "a": "In the June 2026 filing data: Employees performing advisory functions went from 0 to 4."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 11235934987.0,
      "total_employees": 2600,
      "filing_date": "2021-09-27"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 14969260900.0,
      "total_employees": 2600,
      "filing_date": "2022-08-29"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 14029321422.0,
      "total_employees": 2500,
      "filing_date": "2023-10-03"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 16378802331.0,
      "total_employees": 2700,
      "filing_date": "2024-06-18"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": 387,
      "filing_date": "2025-05-01"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": null,
      "total_employees": 272,
      "filing_date": "2026-05-19"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-06-01",
      "period_label": "June 2026",
      "notes": [
        "Employees performing advisory functions went from 0 to 4."
      ]
    },
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    },
    {
      "period": "2026-03-01",
      "period_label": "March 2026",
      "notes": [
        "Updated its list of owners and control persons (Schedule A)."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [],
  "custodians_note": null,
  "markdown_url": "https://advisorcensus.com/firm/pruco-securities-llc-newark-nj-5685.md",
  "clients": [],
  "disclosure_line": "Reports 7 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/5685",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}