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Jasper E Smith

Pruco Securities, LLC

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About Jasper E Smith

Jasper E. Smith is a financial advisor registered with Pruco Securities, LLC. Smith has been active in the industry since 2011. The advisor has registrations in California and Texas as well as a total of 17 other states. Jasper Smith holds the Series 6, 7, 63 and 65 licenses and has been with Pruco Securities, LLC since 2014.

Firm Information

Jasper 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

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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Jasper Smith’s Registration & Firm History

CA

01/06/2022 - Present

Pruco Securities, LLC (Walnut Creek CA)

NJ

01/13/2016 - 08/27/2019

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)

CA

09/26/2014 - 12/28/2015

PRUCO SECURITIES, LLC. (SAN FRANCISCO CA)

CA

09/12/2011 - 11/07/2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (OAKLAND CA)

CA

10/30/2009 - 05/26/2011

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (SAN FRANCISCO CA)

CA

10/23/2008 - 08/31/2009

LINCOLN FINANCIAL ADVISORS CORPORATION (SAN RAMON CA)

PA

09/25/2007 - 08/26/2008

LINCOLN FINANCIAL DISTRIBUTORS, INC. (RADNOR PA)

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Licenses & Designations

IA

Issued 07/06/2020

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/11/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/13/2009

Series 7 - General Securities Representative Examination

BC

Issued 09/24/2007

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Jasper E Smith.
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