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Steven James Wallock

Pruco Securities, LLC

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About Steven James Wallock

Steven James Wallock is a financial professional with over 15 years of experience in the financial services industry. Steven Wallock is registered as a Registered Representative with Pruco Securities, LLC in Michigan and Indiana and also registered as an Investment Advisor Representative in Indiana and Michigan. Steven Wallock is a Series 6, 7TO, 26, 63, and 65 licensed professional. Steven Wallock has been with Pruco Securities, LLC since December 2007. Pruco Securities, LLC is a full-service brokerage firm that offers a wide range of financial products and services, including investment advisory services, brokerage services, and insurance products. Steven Wallock specializes in providing financial advice and investment management services to individuals, families, and businesses.

Firm Information

Steven Wallock 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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Steven Wallock’s Registration & Firm History

MI

01/12/2012 - Present

Pruco Securities, LLC (GRAND RAPIDS MI)

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Licenses & Designations

IA

Issued 01/05/2012

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/14/2008

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/24/2012

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 05/28/2019

Series 7TO - General Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/27/2007

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Steven James Wallock.
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