Stuart W. Payne

Some features on this profile are disabled

CRD#: 2684439

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.

Stuart W Payne, who also goes by Stuart W Payne, Stuart William Payne, Stuart Payne, was a registered financial professional .

Stuart is a previously registered financial professional and started their career in finance in 1996. Stuart had worked at 18 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Stuart W Payne | Stuart William Payne | Stuart Payne

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.

WATT STREET TAVERN POSITION: Associate NATURE: Accommodation, Hospitality and Food Service INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2021 ADDRESS: 115 Watt Street, Circleville OH 43113, United States DESCRIPTION: cleaning, bussing tables, general customer service

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

April 15, 2024 - November 7, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

COLUMBUS, OH

Past

January 16, 2024 - November 7, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

COLUMBUS, OH

Past

April 11, 2022 - November 3, 2023

SEQUENT PLANNING, LLC

RIA

CRD#: 160381

CIRCLEVILLE, OH

Past

January 15, 2021 - February 5, 2021

J.P. MORGAN SECURITIES LLC

CRD#: 79

Westerville, OH

Past

January 14, 2021 - February 5, 2021

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

Westerville, OH

Past

January 14, 2020 - May 21, 2020

EQUITY SERVICES, INC.

RIA

CRD#: 265

WESTERVILLE, OH

Past

January 14, 2020 - May 21, 2020

EQUITY SERVICES, INC.

CRD#: 265

WESTERVILLE, OH

Past

July 23, 2018 - October 24, 2018

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

COLUMBUS, OH

Past

July 23, 2018 - October 24, 2018

EQUITABLE ADVISORS, LLC

CRD#: 6627

COLUMBUS, OH

Past

September 8, 2017 - March 27, 2018

W&S BROKERAGE SERVICES, INC.

CRD#: 8099

Lancaster, OH

Past

June 15, 2017 - July 31, 2017

MML INVESTORS SERVICES, LLC

CRD#: 10409

TAMPA, FL

Past

January 20, 2017 - May 10, 2017

GWN SECURITIES INC.

RIA

CRD#: 128929

Tampa, FL

Past

January 19, 2017 - May 10, 2017

GWN SECURITIES INC.

CRD#: 128929

Tampa, FL

Past

April 25, 2016 - December 19, 2016

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

PALM HARBOR, FL

Past

January 25, 2016 - December 19, 2016

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

PALM HARBOR, FL

Past

January 27, 2011 - October 7, 2014

FORESTERS EQUITY SERVICES, INC.

CRD#: 18464

SAN DIEGO, CA

Past

January 18, 2008 - February 24, 2009

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

LANCASTER, OH

Past

March 8, 2006 - January 29, 2008

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

LITHOPOLIS, OH

Past

February 24, 2006 - January 29, 2008

PRINCIPAL SECURITIES, INC.

CRD#: 1137

LITHOPOLIS, OH

Past

March 31, 2005 - February 3, 2006

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

CHILLICOTHE, OH

Past

March 30, 2005 - February 3, 2006

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

September 27, 2004 - March 31, 2005

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

January 14, 2003 - October 1, 2004

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

CIRCLEVILLE, OH

Past

January 31, 2001 - October 1, 2004

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

May 3, 2000 - January 25, 2001

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

March 31, 1997 - June 4, 1997

THE HUNTINGTON INVESTMENT COMPANY

CRD#: 16986

COLUMBUS, OH

Past

January 1, 1996 - February 7, 1997

NATIONWIDE SECURITIES, LLC

CRD#: 11173

COLUMBUS, OH

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

Series 63

Date: 1/6/2024

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/11/2016

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/1/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/26/1995

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Stuart W. Payne

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRUCO SECURITIES, LLC.

SEQUENT PLANNING, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

EQUITY SERVICES, INC.

EQUITY SERVICES, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

W&S BROKERAGE SERVICES, INC.

MML INVESTORS SERVICES, LLC

GWN SECURITIES INC.

GWN SECURITIES INC.

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

FORESTERS EQUITY SERVICES, INC.

ALLSTATE FINANCIAL SERVICES, LLC

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

EDWARD JONES

THE HUNTINGTON INVESTMENT COMPANY

NATIONWIDE SECURITIES, LLC

Primary Firm SEC Registration

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 63

Date: 1/6/2024

Series 65

Date: 4/11/2016

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/1/2000

Series 6

Date: 12/26/1995

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

Similar Advisors