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Heather Ann Banks

Pruco Securities, LLC

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About Heather Ann Banks

Heather Ann Banks is a financial advisor with over 14 years of experience in the financial industry. Heather is a Certified Financial Planner and is registered to provide investment advice and securities services in 16 states including Alabama, Alaska, California, Colorado, Florida, Georgia, Kentucky, Maryland, Montana, North Carolina, South Carolina, Tennessee, Texas, Virginia, and Washington. Heather is currently affiliated with Pruco Securities, LLC, a broker-dealer firm headquartered in Newark, New Jersey, which is an indirect, wholly owned subsidiary of Prudential Financial, Inc. Heather's previous affiliations included INFINEX INVESTMENTS, INC., LPL FINANCIAL LLC, and FIRST CITIZENS INVESTOR SERVICES, INC.

Firm Information

Heather Banks 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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Heather Banks’s Registration & Firm History

NC

11/28/2022 - Present

Pruco Securities, LLC (Hendersonville NC)

NC

02/23/2013 - 07/18/2016

INFINEX INVESTMENTS, INC. (ASHEVILLE NC)

NC

06/05/2012 - 02/21/2013

LPL FINANCIAL LLC (ASHEVILLE NC)

NC

11/10/2008 - 06/01/2012

FIRST CITIZENS INVESTOR SERVICES, INC. (ASHEVILLE NC)

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Licenses & Designations

IA

Issued 07/26/2011

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/10/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/09/2011

Series 7 - General Securities Representative Examination

BC

Issued 11/07/2008

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Heather Ann Banks.
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