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Douglas W Warstler

Pruco Securities, LLC

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About Douglas W Warstler

Douglas Warstler is a financial advisor with Pruco Securities, LLC. Douglas has been in the financial services industry since 1999. Douglas holds Series 7, Series 31, Series 63, and Series 65 licenses, as well as the SIE certification. Douglas has previously worked with Allstate Financial Services, LLC, Banc of America Investment Services, Inc., Wachovia Securities, LLC, Morgan Stanley DW Inc., and FMS, Inc. Douglas currently works out of the Florence, Kentucky office of Pruco Securities, LLC.

Firm Information

Douglas Warstler 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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Douglas Warstler’s Registration & Firm History

KY

02/13/2020 - Present

Pruco Securities, LLC (Florence KY)

KY

08/04/2009 - 02/07/2020

ALLSTATE FINANCIAL SERVICES, LLC (LOUISVILLE KY)

FL

12/19/2008 - 06/23/2009

BANC OF AMERICA INVESTMENT SERVICES, INC. (DELRAY BEACH FL)

FL

04/04/2005 - 12/22/2008

WACHOVIA SECURITIES, LLC (BOYNTON BEACH FL)

NY

01/29/2002 - 04/01/2005

MORGAN STANLEY DW INC. (PURCHASE NY)

FL

10/06/1999 - 01/08/2002

FMS, INC. (BOCA RATON FL)

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Licenses & Designations

IA

Issued 04/02/2002

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/09/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/05/2002

Series 31 - Futures Managed Funds Examination

BC

Issued 10/04/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Douglas W Warstler. Review regulatory record here.
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