Richard E. Purtell

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CRD#: 2003497

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.

Richard Edward Purtell JR, who also goes by Richard Purtell Jr, Rick E. Purtell Jr., Rick Edward Purtell Jr, Rick Purtell Jr., Rick Purtell, Richard E Purtell, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1996. Richard had worked at 13 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

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.

MIDLAND NATIONAL POSITION: Sales Agent - Fixed Annuities NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 04/01/2004 ADDRESS: 8300 Mills Civic Parkway, West Des Moines IA 50266, United States DESCRIPTION: Fixed Annuity Renewal Commissions/Trails, New Fixed Annuity Sales LIFE & ANNUITY FIXED BUSINESS COMPANY APPOINTMENTS POSITION: Sales Agent NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 06/01/1989 ADDRESS: 30 Janal Way, Manahawkin NJ 08050, United States DESCRIPTION: Renewal Commissions/Trails from existing fixed life and annuity business. New fixed business from various insurance and annuity carriers. TAX PREPARATION/ADVICE POSITION: Tax Advisor/Associate NATURE: Tax Advice/Prep INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 06/01/1989 ADDRESS: 30 Janal Way, Manahawkin NJ 08050, United States DESCRIPTION: As a former employee of the IRS, offers tax advice based on knowledge acquired. Occasionally will work tax season at H&R Block in tax preparation.

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

November 29, 2022 - April 6, 2023

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Toms River, NJ

Past

November 4, 2022 - April 6, 2023

PRUCO SECURITIES, LLC.

CRD#: 5685

Toms River, NJ

Past

October 4, 2011 - November 29, 2011

SAXONY SECURITIES, INC.

CRD#: 115547

LAKEWOOD, NJ

Past

April 8, 2010 - August 9, 2010

SPC

RIA

CRD#: 110692

MANAHAWKIN, NJ

Past

April 1, 2010 - August 9, 2010

PARKLAND SECURITIES, LLC

CRD#: 115368

MANAHAWKIN, NJ

Past

March 2, 2007 - April 18, 2008

QUEST CAPITAL STRATEGIES, INC.

RIA

CRD#: 16783

MANAHAWKIN, NJ

Past

March 2, 2007 - April 18, 2008

QUEST CAPITAL STRATEGIES, INC.

CRD#: 16783

LAGUNA HILLS, CA

Past

May 21, 2004 - April 15, 2005

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

BRANT BEACH, NJ

Past

January 9, 2004 - April 15, 2005

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

June 15, 2000 - April 14, 2004

E STREET ACCESS

CRD#: 100320

ENGLISHTOWN, NJ

Past

February 4, 2000 - April 3, 2000

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

August 27, 1999 - October 19, 1999

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

May 25, 1999 - June 16, 1999

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

January 15, 1997 - December 18, 1998

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

October 15, 1996 - October 24, 1996

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

June 6, 1996 - March 11, 1997

SEABOARD SECURITIES, INC.

CRD#: 755

FLORHAM PARK, 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 66

Date: 10/24/2022

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/12/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/20/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/4/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/3/2022

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 11/7/1996

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/15/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/9/2000

General Securities 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

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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Firm Stability Insights

Richard E. Purtell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRUCO SECURITIES, LLC.

SAXONY SECURITIES, INC.

SPC

PARKLAND SECURITIES, LLC

QUEST CAPITAL STRATEGIES, INC.

QUEST CAPITAL STRATEGIES, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

E STREET ACCESS

PRUDENTIAL EQUITY GROUP, LLC

CHARLES SCHWAB & CO., INC.

ESSEX NATIONAL SECURITIES, LLC

MORGAN STANLEY DW INC.

TD AMERITRADE, INC.

SEABOARD SECURITIES, INC.

Primary Firm SEC Registration

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/24/2022

Series 65

Date: 2/12/2004

Series 63

Date: 5/20/1996

Series 7TO

Date: 11/4/2022

SIE

Date: 10/3/2022

Series 3

Date: 11/7/1996

Series 7

Date: 4/15/1996

Series 24

Date: 8/9/2000

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.

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