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DB

Donald R. Brown

Some features on this profile are disabled
CRD#: 4194553
DB

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.

Donald R Brown, who also goes by Donald R Brown Jr, was a registered financial professional .

Donald is a previously registered financial professional and started their career in finance in 2000. Donald had worked at 6 firms and has passed the Series 65, Series 63, Series 66, SIE, Series 6TO and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Donald R Brown Jr

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.
1. ADDR: AT RESIDENTIAL ADDRESS NATURE: OUTSIDE INSURANCE BUSINESS POSITION: SALES START: 10/15/2019 NO HRS/MO: 6 NO HRS/MO SEC DUR TRADING: 5 DESCRIBE DUTIES: Group Health Insurance (2) NAME: BROWN OIL & GAS INV REL: N ADDR: AT RESIDENTIAL ADDRESS NATURE: GAS WELLS POSITION: OPERATOR START: 05/1/1994 NO HRS/MO: 20 NO HRS/MO DUR SEC TRADING: 5 DESCRIBE DUTIES: MAINTENANCE OF GAS WELLS & PRODUCTION FOR FAMILY BUSINESS. (3) Board member Louisiana SCV 501c3: Duties voting on resolutions. 01/01/2021 5hrs/month None during trading hours. GENERAL HEALTH INSURANCE POSITION: Agent NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 6 START DATE: 10/15/2019 ADDRESS: 150 Pea Ridge Arena Road, Dubach LA 71235, United States DESCRIPTION: selling and servicing health and group health LOUISIANA SCV POSITION: Board Member NATURE: Non-Profit and Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2021 ADDRESS: PO Box 59, Columbia TN 38402, United States DESCRIPTION: Voting on resolutions BROWN OIL & GAS POSITION: Production operator NATURE: Utilities INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 5 START DATE: 05/01/1994 ADDRESS: 242 Mill Creek Road, Saline LA 71070, United States DESCRIPTION: entering production data into software

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

March 25, 2022 - August 31, 2023

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
Dubach, LA
Past

March 24, 2022 - August 31, 2023

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
Monroe, LA
Past

June 24, 2019 - February 28, 2022

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
Monroe, LA
Past

April 12, 2005 - July 12, 2005

SUNSET FINANCIAL SERVICES, INC.

BD
CRD#: 3538
KANSAS CITY, MO
Past

August 9, 2002 - April 8, 2005

OSAIC FA, INC.

RIA
CRD#: 3978
RUSTON, LA
Past

January 8, 2002 - April 8, 2005

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

January 8, 2002 - April 8, 2005

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN
Past

June 16, 2000 - January 30, 2002

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
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, 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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/25/2022
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/12/2021
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 7/7/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/22/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6TO
Date: 5/28/2019
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 6/15/2000
General Securities Representative Examination

Current Firm

PRUCO SECURITIES, LLC.
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
THE PRUDENTIAL INSURANCE COMPANY OF AMERICASOLE MEMBER
FELICIANO, DEXTER MICHAELPRESIDENT5483537
FLORIO, KELLY NICOLEANTI-MONEY LAUNDERING OFFICER6446272
FONTANO, ANTHONY MICHAELELECTED MANAGER6852155
HYNES, PATRICK LIAMCHAIRMAN, ELECTED MANAGER2748918
PATEL, PARANJCHIEF COMPLIANCE OFFICER4235738
SMIT, ROBERT PHILIPCHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, CONTROLLER, PRINCIPAL OPERATIONS OFFICER2332366
THOMSEN, JORDAN KARSTENCHIEF LEGAL OFFICER2821664

Disclosures

Regulatory Event30
Arbitration13
Bond2

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

CRD#: 5685

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