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Seth Alan Workman

Pruco Securities, LLC

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About Seth Alan Workman

Seth Alan Workman is a financial advisor with Pruco Securities, LLC. Seth has been in the industry for over 16 years and holds Series 6, 7TO, 63 and 66 securities licenses. Seth currently works out of the Independence, OH branch office. Seth’s other business includes ownership of HighDive Partners, LLC, a company that helps business owners with funding and culinary expertise.

Firm Information

Seth Workman 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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Seth Workman’s Registration & Firm History

OH

07/10/2023 - Present

Pruco Securities, LLC (Independence OH)

NY

05/31/2007 - 02/28/2008

CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 07/07/2023

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/22/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/08/2023

Series 7TO - General Securities Representative Examination

BC

Issued 03/28/2023

SIE - Securities Industry Essentials Examination

BC

Issued 05/30/2007

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Seth Alan Workman. Review regulatory record here.
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