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Richard Michael Schlaack

Pruco Securities, LLC

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About Richard Michael Schlaack

Richard Schlaack is a financial advisor with Pruco Securities, LLC based in Cincinnati, OH. Richard Schlaack has been in the industry since 2011 and has experience working with individuals and businesses. Richard Schlaack is registered to offer investment advice in several states and specializes in Retirement Planning, Education Planning, College Savings Planning, Life Insurance, and Long Term Care.

Firm Information

Richard Schlaack 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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Richard Schlaack’s Registration & Firm History

OH

08/08/2024 - Present

Pruco Securities, LLC (Cincinnati OH)

OH

04/29/2019 - 07/29/2024

PRUCO SECURITIES, LLC. (West Chester OH)

OH

07/14/2017 - 05/06/2019

AXA ADVISORS, LLC (CINCINNATI OH)

KY

01/19/2016 - 07/31/2017

FIDELITY BROKERAGE SERVICES LLC (COVINGTON KY)

OH

03/20/2014 - 04/21/2015

NATIONWIDE SECURITIES, LLC (CINCINNATI OH)

NY

03/03/2000 - 04/03/2003

PARK AVENUE SECURITIES LLC (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 08/09/2016

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/28/2016

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/19/2016

Series 7 - General Securities Representative Examination

BC

Issued 03/20/2014

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

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