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Carolynn Leah Smith

Pruco Securities, LLC

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About Carolynn Leah Smith

Carolynn Leah Smith is a financial professional with over 17 years of experience in the industry. Carolynn is currently registered with Pruco Securities, LLC and Prudential Annuities Distributors, Inc. as a registered representative. Carolynn is also registered with Prudential Investment Management Services LLC as a registered representative. Previously, Carolynn was registered with PRUCO SECURITIES, LLC. in Newark, NJ, PRUDENTIAL ANNUITIES DISTRIBUTORS, INC in Shelton, CT, AMERICAN SKANDIA MARKETING, INC. in Dresher, PA, and MORGAN STANLEY DW INC. in Purchase, NY. Carolynn is a Series 7, Series 63, Series 26, Series 31, Series 99TO, and SIE licensed professional.

Firm Information

Carolynn Smith 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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Carolynn Smith’s Registration & Firm History

PA

11/01/2023 - Present

Pruco Securities, LLC (Fort Washington PA)

NJ

04/16/2015 - 04/29/2022

PRUCO SECURITIES, LLC. (Newark NJ)

CT

01/23/2008 - 04/29/2022

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC (Shelton CT)

PA

10/06/2005 - 05/07/2007

AMERICAN SKANDIA MARKETING, INC. (DRESHER PA)

NY

08/02/2004 - 06/01/2005

MORGAN STANLEY DW INC. (PURCHASE NY)

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Licenses & Designations

IA

Issued 08/20/2004

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/19/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/26/2006

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/27/2004

Series 31 - Futures Managed Funds Examination

BC

Issued 07/30/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Carolynn Leah Smith.
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