CRD #5685 · FINRA BrokerCheck + SEC IAPD

Pruco Securities, LLC.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Pruco Securities, LLC. ranks #119 of 20,055 by disclosure count (most disclosures first). Among firms registered in NJ, it ranks #4 of 114 on the same disclosure sort used on the state browse page. Pruco Securities, LLC. carries 43 BrokerCheck disclosures across 28 branch offices - elevated load for a mid-sized firm, earning a Grade D.

Verify on FINRA BrokerCheck → Browse all firms
Grade D
Safety grade
28
branch offices
43
disclosures
#119 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 5685 Pruco Securities, LLC.

Pruco Securities, LLC. · Grade D · 43 disc · 1.54/office · Mid-sized firm

  • CRD 5685
  • GRADE D
  • DISC 43
  • REG 30
  • ARB 13
  • CIV 0
  • BRANCH 28
  • PER-OFF 1.54
  • RANK #119 of 20,055
  • BOOK Mid-sized firm

Intensity peers

Nearest same-size peer: Tradestation Securities, Inc. (1.50 disc/office)

Tradestation Securities…1.50Sanford C. Bernstein & …1.30Keybanc Capital Markets…1.28Pruco Securities, LLC. (this)1.54
Disclosures per office among mid-sized firm peers (lower is cleaner)

Pruco Securities, LLC. ranks #119 of 20,055 by disclosure count among graded broker-dealers; elevated load at 1.54 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 2/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

28 offices

FINRA: Medium firm

Total disclosures

43 events

On FINRA BrokerCheck

Regulatory events

30 actions

70% of all disclosures

Disclosures per office

1.54 per office

43 ÷ 28 offices

Pruco Securities, LLC. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

2 a cleaner per-office record than 17% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). Below this entry. 1–2: 32 disclosing firms (3%). Below this entry. 2–2: 65 disclosing firms (5%). This entry sits in this band. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 30
Arbitrations 13
Civil Events 0
Total 43

Counts for Pruco Securities, LLC. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 30 Arbitration 13 Civil 0

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
Newark, NJ
CRD Number
5685

Elevated disclosures per office

Pruco Securities, LLC. in the heavier-disclosure third

Pruco Securities, LLC. carries 43 BrokerCheck disclosures across 28 branch offices - a heavier-third raw book among graded firms (#119 of 20,055). Regulator-initiated events are 70% of the book (30 regulatory / 13 arbitration / 0 civil).

Pruco Securities, LLC. runs 1.54 disclosures per branch office (cleaner than only 83% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Pruco Securities, LLC.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New Jersey cohort · 3.33× state average

Pruco Securities, LLC. sits above the New Jersey disclosure average

Pruco Securities, LLC. reports 43 BrokerCheck disclosures, 3.33× the New Jersey average of 12.9 across 114 graded firms with a principal-office state on file.

In New Jersey, 50 firms carry Grade A and 2 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New Jersey state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Pruco Securities, LLC. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Pruco Securities, LLC. ranks #119 of 20,055 by disclosure count (most disclosures first). Among firms registered in NJ, it ranks #4 of 114 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of D mean for Pruco Securities, LLC.?
A grade of D reflects Pruco Securities, LLC.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (mid-sized firm). It carries 43 total disclosures across 28 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Pruco Securities, LLC. have?
Pruco Securities, LLC. has 43 total FINRA disclosures, including 30 regulatory events, 13 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Pruco Securities, LLC.?
Pruco Securities, LLC. operates 28 branch offices and is classified by FINRA as a medium firm, registered in NJ (Mid-sized firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Pruco Securities, LLC.'s disciplinary record?
You can verify Pruco Securities, LLC.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 5685. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Pruco Securities, LLC.'s 43 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Pruco Securities, LLC. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Pruco Securities, LLC. carries 43 disclosures across 28 branch offices (about 1.54 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Pruco Securities, LLC., both outside NJ so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.