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Sarah Renee Caruso

Pruco Securities, LLC

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About Sarah Renee Caruso

Sarah Renee Caruso is a financial professional with over 10 years of experience in the industry. Sarah is currently registered as a Registered Representative and Investment Advisor Representative with Pruco Securities, LLC. Sarah has a strong background in providing financial advice to individuals and businesses, including experience with high-net-worth individuals and other investment advisors. Sarah also has a strong focus on providing financial planning and investment management services.

Firm Information

Sarah Caruso 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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Sarah Caruso’s Registration & Firm History

CO

07/26/2022 - Present

Pruco Securities, LLC (ENGLEWOOD CO)

WI

12/10/2015 - 11/03/2017

INVEST FINANCIAL CORPORATION (APPLETON WI)

WI

12/10/2015 - 11/03/2017

INVESTMENT CENTERS OF AMERICA, INC. (APPLETON WI)

CO

12/10/2015 - 11/03/2017

NATIONAL PLANNING CORPORATION (DENVER CO)

WI

12/10/2015 - 11/03/2017

SII INVESTMENTS, INC. (APPLETON WI)

CO

06/07/2010 - 11/30/2015

JACKSON NATIONAL LIFE DISTRIBUTORS LLC (DENVER CO)

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Licenses & Designations

IA

Issued 03/22/2013

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/18/2011

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/03/2014

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/03/2013

Series 7 - General Securities Representative Examination

BC

Issued 06/04/2010

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Sarah Renee Caruso. Review regulatory record here.
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