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Michael Richard Dolphin

Pruco Securities, LLC

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About Michael Richard Dolphin

Michael Dolphin is a financial advisor registered with Pruco Securities, LLC. Michael has been in the industry since 2013 and has passed exams in Investment Company Products/Variable Contracts Representative, General Securities Representative and Securities Industry Essentials. Michael has also been registered in Iowa. Michael has previously been registered with Allstate Financial Services, LLC, Broker Dealer Financial Services Corp. and NYLIFE Securities LLC.

Firm Information

Michael Dolphin 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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Michael Dolphin’s Registration & Firm History

WI

11/28/2023 - Present

Pruco Securities, LLC (WAUWATOSA WI)

IA

07/25/2017 - 12/31/2022

ALLSTATE FINANCIAL SERVICES, LLC (DES MOINES IA)

IA

02/27/2015 - 07/11/2017

BROKER DEALER FINANCIAL SERVICES CORP. (WEST DES MOINES IA)

IA

03/14/2013 - 07/28/2014

NYLIFE SECURITIES LLC (WEST DES MOINES IA)

NA

04/20/1989 - 05/26/1989

TRI-BRADLEY INVESTMENTS

NA

03/14/1989 - 04/19/1989

FIRST CHOICE SECURITIES CORP.

NA

02/27/1989 - 03/27/1989

L.F. THOMPSON & COMPANY

NA

03/07/1989 - 03/16/1989

XCEL SECURITIES, INC.

NA

04/06/1988 - 02/27/1989

POWER SECURITIES CORPORATION

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Licenses & Designations

BC

Issued 05/13/2013

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/13/2013

Series 6 - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 03/19/1988

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Michael Richard Dolphin. Review regulatory record here.
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