William J. Cuff

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CRD#: 1089385

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

William Joseph Cuff was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1983. William had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

CITY OF GLOUCESTER, MASSACHUSETTS POSITION: Member of the Community Preservation Committee NATURE: Government and Civic Body INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 4 START DATE: 05/25/2021 ADDRESS: 9 Dale Avenue, Gloucester MA 01930, United States DESCRIPTION: The Community Preservation Committee shall study the needs, possibilities and resources of the city regarding community preservation. The Committee shall make recommendations to the City Council for the acquisition, creation and preservation of open space, rehabilitation and restoration of historic resources, support of community housing and land for recreational use. PATHWAYS FOR CHILDREN POSITION: Board of Directors member serving on the Development Committee and as Chairman, RetirementPlan Oversight Committee. NATURE: Non-Profit and Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 8 START DATE: 11/11/2020 ADDRESS: 29 Emerson Ave., Gloucester MA 01930, United States DESCRIPTION: Board of Directors.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 17, 2012 - December 31, 2023

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

WAKEFIELD, MA

Past

March 13, 2009 - March 6, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

WAKEFIELD, MA

Past

August 1, 2008 - February 2, 2009

NATIONWIDE SECURITIES, LLC

RIA

CRD#: 11173

NEWTON, MA

Past

August 1, 2008 - February 2, 2009

NATIONWIDE SECURITIES, LLC

CRD#: 11173

NEWTON, MA

Past

November 23, 2007 - August 1, 2008

1717 CAPITAL MANAGEMENT COMPANY

RIA

CRD#: 4082

DURHAM, NC

Past

November 21, 2006 - August 1, 2008

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

DURHAM, NC

Past

January 11, 2005 - March 14, 2006

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

August 3, 1998 - October 7, 2004

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

February 3, 1983 - August 12, 1996

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PRUCO SECURITIES, LLC.

PRUCO SECURITIES CORPORATION | PRUDENTIAL FINANCIAL PLANNING SERVICES | PRUCO SECURITIES, LLC. | PRUCO SECURITIES, LLC

CRD#: 5685 / SEC#: 801-52208, 8-16402

RIA

Registered Investment Advisory firm - SEC (6/28/1996 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/29/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/1/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/15/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/24/1983

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 8/8/2009

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/9/2005

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 5/26/1989

Investment Company Products/Variable Contracts Principal Examination

Current Firm

PRUCO SECURITIES, LLC.

PRUCO SECURITIES CORPORATION | PRUDENTIAL FINANCIAL PLANNING SERVICES | PRUCO SECURITIES, LLC. | PRUCO SECURITIES, LLC

CRD#: 5685 / SEC#: 801-52208, 8-16402

RIA

Registered Investment Advisory firm - SEC (6/28/1996 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

751 Broad Street, Newark, NJ 07102-3777

Mailing Address

751 Broad Street, Newark, NJ 07102-3777

Phone number

(973) 802-6000

Established

New Jersey since 09/22/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

387

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PRUCO SECURITIES, LLC (3/25/2025)

Direct owners and executive officers

Name	Position	CRD#
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA	SOLE MEMBER
FELICIANO, DEXTER MICHAEL	PRESIDENT	5483537
FLORIO, KELLY NICOLE	ANTI-MONEY LAUNDERING OFFICER	6446272
FONTANO, ANTHONY MICHAEL	ELECTED MANAGER	6852155
HYNES, PATRICK LIAM	CHAIRMAN, ELECTED MANAGER	2748918
PATEL, PARANJ	CHIEF COMPLIANCE OFFICER	4235738
SMIT, ROBERT PHILIP	CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, CONTROLLER, PRINCIPAL OPERATIONS OFFICER	2332366
THOMSEN, JORDAN KARSTEN	CHIEF LEGAL OFFICER	2821664

Disclosures

Regulatory Event	30
Arbitration	13
Bond	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/27/2025	Cover Page	Report
12/22/2023	Cover Page	Report
12/22/2023	Cover Page	Report

Red Flags

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William J. Cuff

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRUCO SECURITIES, LLC.

NATIONWIDE SECURITIES, LLC

NATIONWIDE SECURITIES, LLC

1717 CAPITAL MANAGEMENT COMPANY

1717 CAPITAL MANAGEMENT COMPANY

SIGNATOR INVESTORS, INC.

NEW ENGLAND SECURITIES

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/29/2009

Series 63

Date: 4/1/1983

SIE

Date: 10/1/2018

Series 7

Date: 5/15/2002

Series 6

Date: 1/24/1983

Series 51

Date: 8/8/2009

Series 24

Date: 5/9/2005

Series 26

Date: 5/26/1989

Current Firm

PRUCO SECURITIES, LLC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PRUCO SECURITIES, LLC.

TRUST BUT VERIFY

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