Elisa Martin

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CRD#: 5658867

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.

Elisa Martin, who also goes by Elisa May Lacourse, Elisa M. Martin, Elisa May Martin, Elisa May Rogers, was a registered financial professional .

Elisa is a previously registered financial professional and started their career in finance in 2009. Elisa had worked at 4 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Elisa May Lacourse | Elisa M. Martin | Elisa May Martin | Elisa May Rogers

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.

GATES CHILI CHAMBER OF COMMERCE POSITION: Executive Board of Directors NATURE: Networking INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 2 START DATE: 01/10/2022 ADDRESS: PO BOX 24083, Rochester NY 14624, United States DESCRIPTION: As the executive Board of Directors, I am Program Director. I set up the events and run the meetings for the event planning. PLANNING BOARD - VILLAGE OF CHURCHVILLE POSITION: Networking. Program Director. NATURE: Networking INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/24/2022 ADDRESS: 25 E Buffalo Road, Churchville NY 14428, United States DESCRIPTION: As the executive Board of Directors, I am Program Director. I set up the events and run the meeting for the event planning. EMPIRE FINANCIAL ADVISORY SERVICES POSITION: DBA part owner for record keeping purposes only. NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2023 ADDRESS: 1 Court Street Plaza, Batavia NY 14020, United States DESCRIPTION: DBA part owner. RODAN + FIELDS LLC HAIR AND SKIN CARE. I GET A DISCOUNT BY JOINIG POSITION: beauty consultant NATURE: cosmetology/skin INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/30/2023 ADDRESS: 3001 Bishop Drive, Suite 450, San Ramon CA 94582, United States DESCRIPTION: I'm doing this for the discount, but for both myself and my daughter.

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

January 18, 2023 - May 29, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Batavia, NY

Past

October 4, 2022 - May 29, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

Batavia, NY

Past

January 4, 2021 - April 5, 2021

M&T SECURITIES, INC.

CRD#: 17358

BATAVIA, NY

Past

April 28, 2014 - December 10, 2020

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

ROCHESTER, NY

Past

February 22, 2010 - May 7, 2014

MORGAN STANLEY

RIA

CRD#: 149777

ROCHESTER, NY

Past

July 8, 2009 - May 7, 2014

MORGAN STANLEY

CRD#: 149777

ROCHESTER, 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.

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

IAR

Series 66

Date: 1/17/2023

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 4/4/2012

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/7/2009

General Securities 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)

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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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Firm Stability Insights

Elisa Martin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRUCO SECURITIES, LLC.

M&T SECURITIES, INC.

FIDELITY BROKERAGE SERVICES LLC

MORGAN STANLEY

MORGAN STANLEY

Primary Firm SEC Registration

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/17/2023

SIE

Date: 10/1/2018

Series 31

Date: 4/4/2012

Series 7

Date: 7/7/2009

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.

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