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Carrie Ann Simmons

Pruco Securities, LLC

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About Carrie Ann Simmons

Carrie Ann Simmons is a financial advisor with Pruco Securities, LLC. Carrie has been in the financial services industry since 2001. Carrie holds FINRA licenses Series 7, 9, 10, 66 and SIE and is registered in California and Florida. Carrie has previously been registered with Wells Fargo Advisors, LLC, Transamerica Financial Advisors, Inc and Merrill Lynch, Pierce, Fenner & Smith Incorporated.

Firm Information

Carrie Simmons 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

Helps you choose top advisors aligned with your financial goals.

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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Carrie Simmons’s Registration & Firm History

CA

04/07/2022 - Present

Pruco Securities, LLC (IRVINE CA)

CA

03/09/2020 - 08/10/2020

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (IRVINE CA)

CA

06/20/2016 - 12/11/2018

TRANSAMERICA FINANCIAL ADVISORS, INC (NEWPORT BEACH CA)

CA

06/01/2009 - 07/21/2014

WELLS FARGO ADVISORS, LLC (NEWPORT BEACH CA)

CA

09/12/2001 - 03/13/2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LAGUNA HILLS CA)

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Licenses & Designations

BOTH

Issued 10/17/2001

Series 66 - Uniform Combined State Law Examination

BC

Issued 11/19/2005

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/22/2005

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/21/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Carrie Ann Simmons.
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