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Richard Alan Swithers

Pruco Securities, LLC

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About Richard Alan Swithers

Richard Swithers has been a financial professional since 1982 and currently is registered with Pruco Securities, LLC. Richard has experience in the financial industry and holds licenses for Series 3, 6, 7, 63 and 65, as well as the Securities Industry Essentials examination (SIE). He is also registered in 11 states for both securities and investment advisory services. Richard provides financial services and products to individuals, businesses and trusts.

Firm Information

Richard Swithers 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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Richard Swithers’s Registration & Firm History

FL

12/05/1991 - Present

Pruco Securities, LLC (Sarasota FL)

NJ

12/02/1991 - 12/10/1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)

NJ

10/17/1986 - 01/26/1989

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

NA

04/10/1984 - 10/27/1986

DEAN WITTER REYNOLDS INC.

NA

09/24/1982 - 04/06/1984

PRUDENTIAL-BACHE SECURITIES INC.

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Licenses & Designations

BC

Issued 01/11/2002

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 12/29/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/02/2023

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/29/1991

Series 6 - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 11/17/1982

Series 3 - National Commodity Futures Examination

BC

Issued 09/18/1982

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Richard Alan Swithers.
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