Douglas L. Woolbert
Professional summary
Douglas L Woolbert, who also goes by Doug Woolbert, Douglas L Woolbert, Douglas Lane Woolbert, is a registered financial advisor currently at PRUCO SECURITIES, LLC. located in Cazenovia, New York.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Douglas has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Douglas L Woolbert's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Douglas L Woolbert's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 30, 2021 - Present
PRUCO SECURITIES, LLC.
October 10, 2018 - Present
PRUCO SECURITIES, LLC.
Office #1: 213 Washington Street, Newark, NJ 07102October 26, 2018 - July 2, 2021
PRUDENTIAL SELECT STRATEGIES LLC
October 10, 2018 - October 31, 2018
PRUCO SECURITIES, LLC.
December 18, 2017 - August 6, 2018
EQUITABLE ADVISORS, LLC
November 29, 2017 - August 6, 2018
EQUITABLE ADVISORS, LLC
January 8, 2009 - August 29, 2016
HARRISDIRECT LLC
January 23, 2007 - August 29, 2016
E*TRADE SECURITIES LLC
October 20, 2004 - January 16, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - January 16, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 10, 2002 - October 20, 2004
QUICK & REILLY, INC.
June 2, 2000 - October 20, 2004
QUICK & REILLY, INC.
November 18, 1996 - April 19, 2000
TD AMERITRADE, INC.
Primary Firm SEC Registration
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/10/2018)
(6/30/2021)
(6/30/2021)
(7/14/2021)
Exams
Series 8
Date: 10/6/1998
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
Contact information
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.
