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David A Yaffee

Pruco Securities, LLC

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About David A Yaffee

David Yaffee is a financial advisor with Pruco Securities, LLC. David has been a registered representative in the securities industry for over 20 years. David is a highly experienced advisor with a proven track record of success. He is committed to providing his clients with personalized financial advice and guidance. David has a broad range of experience in the financial services industry, including experience working with individuals, families, and businesses. He is also a certified financial planner, which allows him to provide comprehensive financial planning services to his clients. David is dedicated to helping his clients achieve their financial goals.

Firm Information

David Yaffee 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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David Yaffee’s Registration & Firm History

CT

01/18/2023 - Present

Pruco Securities, LLC (Glastonbury CT)

CT

04/27/2020 - 01/18/2023

LPL FINANCIAL LLC (BLOOMFIELD CT)

CT

01/22/2018 - 04/27/2020

PRUCO SECURITIES, LLC. (Vernon CT)

CT

09/28/2012 - 10/28/2015

INFINEX INVESTMENTS, INC. (SOUTH WINDSOR CT)

CT

08/05/2009 - 10/01/2012

PEOPLE'S SECURITIES, INC. (HARTFORD CT)

CT

02/14/2006 - 07/28/2009

NEWALLIANCE INVESTMENTS, INC. (VERNON CT)

CT

08/11/2004 - 02/13/2006

ING FINANCIAL ADVISERS, LLC (WINDSOR CT)

MO

10/31/2002 - 07/30/2004

EDWARD JONES (ST. LOUIS MO)

MO

10/06/2000 - 11/21/2002

A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)

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Licenses & Designations

BC

Issued 01/22/2018

Series 63 - Uniform Securities Agent State Law Examination

BOTH

Issued 11/02/2000

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/25/2010

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/05/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for David A Yaffee. Review regulatory record here.
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