DS
David A. Schaupp
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
Minneapolis, MN 55402
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CRD#: 2248248
DS
Professional summary
David Allen Schaupp, who also goes by Dave Schaupp, is a registered financial professional currently at PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC located in Minneapolis, Minnesota and PRUCO SECURITIES, LLC. located in Newark, New Jersey.
David is registered as a RR (Registered Representative) and started their career in finance in 1992. David has worked at 2 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dave Schaupp
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view David Allen Schaupp's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 31, 2010 - Present
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
Office #1: 700 Nicollet Mall Suite 850, Minneapolis, MN 55402BD
CRD#: 18353
Minneapolis, MN
Current
September 25, 2018 - Present
PRUCO SECURITIES, LLC.
Office #1: 213 Washington Street, Newark, NJ 07102RIA
BD
CRD#: 5685
NEWARK, NJ
Past
August 27, 1992 - March 31, 2010
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
PLYMOUTH, MN
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)BD
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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/31/2010)
RR
Arizona(3/31/2010)
RR
Arkansas(3/31/2010)
RR
California(3/31/2010)
RR
Colorado(3/31/2010)
RR
Connecticut(3/31/2010)
RR
Delaware(3/31/2010)
RR
District of Columbia(3/31/2010)
RR
Florida(4/1/2010)
RR
Georgia(3/31/2010)
RR
Idaho(3/31/2010)
RR
Illinois(3/31/2010)
RR
Indiana(3/31/2010)
RR
Iowa(3/31/2010)
RR
Kansas(3/31/2010)
RR
Kentucky(3/31/2010)
RR
Louisiana(3/31/2010)
RR
Maine(3/31/2010)
RR
Maryland(3/31/2010)
RR
Massachusetts(3/31/2010)
RR
Michigan(3/31/2010)
RR
Minnesota(3/31/2010)
RR
Mississippi(3/31/2010)
RR
Missouri(3/31/2010)
RR
Montana(3/31/2010)
RR
Nebraska(3/31/2010)
RR
Nevada(3/31/2010)
RR
New Hampshire(3/31/2010)
RR
New Jersey(3/31/2010)
RR
New Mexico(3/31/2010)
RR
New York(3/31/2010)
RR
North Carolina(3/31/2010)
RR
North Dakota(3/31/2010)
RR
Ohio(3/31/2010)
RR
Oklahoma(3/31/2010)
RR
Oregon(3/31/2010)
RR
Pennsylvania(3/31/2010)
RR
Rhode Island(3/31/2010)
RR
South Carolina(3/31/2010)
RR
South Dakota(3/31/2010)
RR
Tennessee(3/31/2010)
RR
Texas(3/31/2010)
RR
Utah(3/31/2010)
RR
Vermont(3/31/2010)
RR
Virginia(3/31/2010)
RR
Washington(3/31/2010)
RR
West Virginia(3/31/2010)
RR
Wisconsin(3/31/2010)
RR
Wyoming(3/31/2010)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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)BD
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)
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 | ||
| 12/22/2023 | ||
| 12/22/2023 |
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.
