Barbara M. Schultz

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CRD#: 1113317

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.

Barbara Marie Schultz, who also goes by Barbara Marie Legner, Barbara Schultz, was a registered financial professional .

Barbara is a previously registered financial professional and started their career in finance in 1983. Barbara had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Barbara Marie Legner | Barbara Schultz

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.

Friends of Brooker Creek Preserve~3940 Keystone Rd.,, Tarpon Springs, Fl. 34688~Non-Profit Charitable Board Member~N~Board Member~5-2015~2 hrs/mo~0 trading hrs/mo|Friends of East Lake Communiity Library~4125 East Lake Rd., Palm Harbor, Fl. 34685~Non Profit Charitable Organization~N~Board Member~5-2015~1 hrs/mo~0 trading hrs/mo EMPOWER INSURANCE AND FINANCIAL SERVICES POSITION: Financial Professional NATURE: Insurance and Investments INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 09/06/2021 ADDRESS: 2300 Curlew Rd, Ste 212, Palm Harbor FL 34683, United States DESCRIPTION: Sales and Service of Insurance and Investments

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®

CRD#: 6321

MINNEAPOLIS, MN

Past

June 21, 2002 - June 28, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

June 15, 2001 - April 5, 2002

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

November 14, 1986 - June 6, 2001

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

April 18, 1983 - June 6, 2001

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

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.

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/15/1983

Investment Company Products/Variable Contracts Representative 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

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Barbara M. Schultz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRUCO SECURITIES, LLC.

WADDELL & REED

WADDELL & REED

ALLIED BEACON PARTNERS, INC.

ALLIED BEACON PARTNERS, INC.

EDWARD JONES

EDWARD JONES

COUNTRY TRUST BANK

COUNTRY CAPITAL MANAGEMENT COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

MORGAN STANLEY DW INC.

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

Primary Firm SEC Registration

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/31/2001

Series 63

Date: 1/22/1992

SIE

Date: 10/1/2018

Series 31

Date: 7/13/2001

Series 7

Date: 9/6/2000

Series 6

Date: 4/15/1983

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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