Robert J. Schaffer
Professional summary
Robert Joseph Schaffer III, who also goes by Rob Joseph Schaffer III, Robert J Schaffer, Robert Joseph Schaffer, is a registered financial professional currently at PRUCO SECURITIES, LLC. located in Newark, New Jersey.
Robert is registered as a RR (Registered Representative) and started their career in finance in 2004. Robert has worked at 4 firms and has passed the Series 7TO, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Joseph Schaffer III's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 12, 2022 - Present
PRUCO SECURITIES, LLC.
Office #1: 213 Washington Street, Newark, NJ 07102October 18, 2010 - February 4, 2015
USAA INVESTMENT SERVICES COMPANY
October 11, 2007 - June 8, 2010
CUNA BROKERAGE SERVICES, INC.
December 10, 2004 - September 20, 2006
USAA INVESTMENT SERVICES COMPANY
January 29, 2004 - April 13, 2004
THRIVENT INVESTMENT MANAGEMENT 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
Exams
Series 7TO
Date: 9/12/2022
General Securities Representative ExaminationFINRA
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
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