Nicholas Tsakon

PRUCO SECURITIES.

NEWARK, NJ 07102

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CRD#: 4170224

Professional summary

Nicholas Tsakon is a registered financial advisor currently at PRUCO SECURITIES, LLC. located in Newark, New Jersey.

Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Nicholas has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Tsakon's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Nicholas Tsakon's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 21, 2016 - Present

PRUCO SECURITIES, LLC.

Office #1: 213 Washington Street, Newark, NJ 07102Office #2: 751 Broad Street, Newark, NJ 07102-3777

RIA

CRD#: 5685

NEWARK, NJ

Current

November 1, 2011 - Present

PRUCO SECURITIES, LLC.

Office #1: 213 Washington Street, Newark, NJ 07102Office #2: 751 Broad Street, Newark, NJ 07102-3777

RIA

CRD#: 5685

NEWARK, NJ

Past

February 12, 2001 - June 28, 2010

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

August 14, 2000 - February 28, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Alabama
(11/1/2011)

Alaska
(11/1/2011)

Arizona
(11/1/2011)

Arkansas
(11/1/2011)

California
(11/1/2011)

Colorado
(11/1/2011)

Connecticut
(11/1/2011)

Delaware
(11/1/2011)

District of Columbia
(11/1/2011)

Florida
(11/1/2011)

Georgia
(11/1/2011)

Hawaii
(11/1/2011)

Idaho
(11/1/2011)

Illinois
(11/1/2011)

Indiana
(11/1/2011)

Iowa
(11/1/2011)

Kansas
(11/1/2011)

Kentucky
(11/1/2011)

Louisiana
(11/1/2011)

Maine
(11/1/2011)

Maryland
(11/1/2011)

Massachusetts
(11/1/2011)

Michigan
(11/1/2011)

Minnesota
(11/1/2011)

Mississippi
(11/1/2011)

Missouri
(11/1/2011)

Montana
(11/1/2011)

Nebraska
(11/1/2011)

Nevada
(11/1/2011)

New Hampshire
(11/1/2011)

New Jersey
(11/1/2011)

IAR

New Jersey
(10/21/2016)

New Mexico
(11/1/2011)

New York
(11/1/2011)

North Carolina
(11/1/2011)

North Dakota
(11/1/2011)

Ohio
(11/2/2011)

Oklahoma
(11/1/2011)

Oregon
(11/1/2011)

Pennsylvania
(11/1/2011)

Rhode Island
(11/1/2011)

South Carolina
(11/1/2011)

South Dakota
(11/1/2011)

Tennessee
(11/2/2011)

Texas
(11/1/2011)

Utah
(11/1/2011)

Vermont
(11/1/2011)

Virginia
(11/1/2011)

Washington
(11/1/2011)

West Virginia
(11/1/2011)

Wisconsin
(11/1/2011)

Wyoming
(11/1/2011)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/27/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/8/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/11/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/9/2014

General Securities Principal Examination

Principal/Supervisory Exam

Series 10

Date: 11/6/2008

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 7/30/2008

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

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)

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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Nicholas Tsakon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicholas Tsakon's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Nicholas Tsakon's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRUCO SECURITIES, LLC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/27/2016

Series 63

Date: 12/8/2000

SIE

Date: 10/1/2018

Series 7

Date: 8/11/2000

Series 24

Date: 1/9/2014

Series 10

Date: 11/6/2008

Series 9

Date: 7/30/2008

FINRA

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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