# Pruco Securities, LLC

> 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.

- CRD: 5685
- Filed as: PRUCO SECURITIES, LLC
- Registration: SEC-registered investment adviser (status as filed: Approved)
- Location: Newark, NJ
- Filing period: October 2026
- Form ADV filing dated: May 19, 2026
- SEC record (IAPD): https://adviserinfo.sec.gov/firm/summary/5685
- AdvisorCensus page: https://advisorcensus.com/firm/pruco-securities-llc-newark-nj-5685

## Quick answers

**How is Pruco Securities, LLC compensated?**
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.

**Where is Pruco Securities, LLC located?**
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).

**Is Pruco Securities, LLC registered with the SEC or a state?**
Pruco Securities, LLC is an SEC-registered investment advisory firm, registered since 1996. Status as filed: Approved. CRD 5685.

**How have Pruco Securities, LLC's assets and staff changed since 2021?**
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.

**Does Pruco Securities, LLC report any disciplinary disclosures?**
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

**What changed in Pruco Securities, LLC's recent Form ADV filings?**
In the June 2026 filing data: Employees performing advisory functions went from 0 to 4.

## From the Form ADV filing

### Compensation (Item 5.E)
- Other

### Advisory services (Item 5.G)
- Selection of other advisers (including private fund managers)

### Firm details
- Registered since: 1996 (30 years)
- Employees: 272 total, 4 performing advisory functions
- Wrap fee program participation: No
- States registered or notice-filed: 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
- Disclosures (Item 11): Reports 7 disclosure items on Form ADV Item 11.

### Item 11 questions answered yes
- 11.C(1): Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?
- 11.C(2): 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?
- 11.C(4): Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?
- 11.C(5): 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?
- 11.D(1): 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?
- 11.D(2): 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?
- 11.D(4): 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?

Each question covers the firm and its advisory affiliates: its current employees other than clerical staff, its officers, partners, and directors, and anyone who controls the firm or is controlled by it. One event can produce yes answers to several questions. SEC-registered advisers and exempt reporting advisers may leave out events more than ten years old, and may answer 11.A(2) and 11.B(2) for pending charges only. The detail of each yes answer is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/5685

### Other offices (Schedule D, Section 1.F), as of the June 2026 filing
- Fort Washington, PA
- Minneapolis, MN
- Newark, NJ

### Websites listed on Form ADV (Item 1.I)
- prudential.com

## Assets and staff over time

| Data period | Regulatory assets under management | Employees | Filing dated |
| --- | --- | --- | --- |
| October 2021 | $11,235,934,987 | 2,600 | September 27, 2021 |
| October 2022 | $14,969,260,900 | 2,600 | August 29, 2022 |
| October 2023 | $14,029,321,422 | 2,500 | October 3, 2023 |
| October 2024 | $16,378,802,331 | 2,700 | June 18, 2024 |
| October 2025 | Not reported | 387 | May 1, 2025 |
| October 2026 | Not reported | 272 | May 19, 2026 |

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.

## Changes in the filing (last 12 months)

### June 2026
- Employees performing advisory functions went from 0 to 4.

### April 2026
- Updated its list of owners and control persons (Schedule A).

### March 2026
- Updated its list of owners and control persons (Schedule A).

## Source

Form ADV as filed, October 2026. Values appear as filed. Cite as: AdvisorCensus. Pruco Securities, LLC (CRD 5685): Form ADV filing data as of October 2026.