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Carlos Felipe Fierro

Pruco Securities, LLC

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About Carlos Felipe Fierro

Carlos Fierro is a registered representative with Pruco Securities, LLC, a firm based in Newark, New Jersey. Carlos has been in the industry since 2009. Carlos has several licenses, including Series 7, 63, 3, 4, 9, 10, 34 and SIE. Before joining Pruco Securities, LLC, Carlos worked at Prudential Investment Management Services LLC and Charles Schwab & Co., Inc. Carlos has been in the industry since 2009 and has expertise in securities, options, futures and forex.

Firm Information

Carlos Fierro is currently registered with Pruco Securities, LLC. Pruco Securities, LLC is a Limited Liability Company formed in 2003 and headquartered in Newark, NJ. The firm provides investment advisory services including selection of other advisers. They primarily serve high-net-worth individuals, individuals other than high-net-worth, corporations or other businesses, and trust and estate accounts. Pruco Securities, LLC is registered with the SEC and all 50 states and has over 113,000 accounts under management.
Pruco Securities, LLC

751 BROAD STREET

NEWARK, NJ 07102-3777

$16.38B

Assets Under Management

2,286

Total Clients

3,605

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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selection of other advisors

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Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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other

Compensation from lpl enterprise, llc

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Carlos Fierro’s Registration & Firm History

NJ

05/04/2020 - Present

Pruco Securities, LLC (NEWARK NJ)

NJ

11/04/2019 - 06/05/2020

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)

NJ

12/24/2018 - 05/21/2019

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)

TX

09/01/2011 - 09/27/2018

CHARLES SCHWAB & CO., INC. (El Paso TX)

TX

10/06/2008 - 11/20/2014

OPTIONSXPRESS, INC. (EL PASO TX)

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Licenses & Designations

BC

Issued 10/24/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/21/2013

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 12/03/2012

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 06/22/2010

Series 4 - Registered Options Principal Examination

BC

Issued 09/27/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/28/2013

Series 34 - Retail Off-Exchange FOREX Examination

BC

Issued 07/07/2009

Series 3 - National Commodity Futures Examination

BC

Issued 10/03/2008

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Carlos Felipe Fierro. Review regulatory record here.
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