Lucas Schmitz

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CRD#: 6774453

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.

Lucas Schmitz, who also goes by Lucas J Schmitz, was a registered financial professional .

Lucas is a previously registered financial professional and started their career in finance in 2017. Lucas had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Aliases

Lucas J Schmitz

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.

MID TOWNE CONSTRUCTION POSITION: Equipment Operator NATURE: Snow removal INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 01/11/2020 ADDRESS: 1502 Main Street, Cross Plains WI 53528, United States DESCRIPTION: Operate equipment in the removal of snow from parking and roadway services. I conduct this activity on an as needed basis. When they call, I help. SCHMITZ LUMBER COMPANY LLC DBA J&M BUILDING SUPPLY POSITION: Co-Owner NATURE: Retail  Sales INVESTMENT RELATED: No NUMBER OF HOURS: 65 SECURITIES TRADING HOURS: 65 START DATE: 04/29/2022 ADDRESS: 884 Main St, Highland WI 53543, United States DESCRIPTION: Building construction material sales material ordering stocking project estimates

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 4, 2021 - August 9, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

WAUWATOSA, WI

Past

March 4, 2021 - August 9, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

WAUWATOSA, WI

Past

October 15, 2019 - February 26, 2021

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

MINERAL POINT, WI

Past

October 15, 2019 - February 26, 2021

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

MINERAL POINT, WI

Past

August 31, 2017 - October 14, 2019

EDWARD JONES

RIA

CRD#: 250

Stoughton, WI

Past

May 24, 2017 - October 14, 2019

EDWARD JONES

CRD#: 250

Stoughton, WI

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

What does exam status mean?

State Security Law Exam

Series 66

Status Unavailable

Passed: 7/13/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 5/24/2017

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

Small

# of Employees

272

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 (3/25/2026)

Direct owners and executive officers

Name	Position	CRD#
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA	SOLE MEMBER
DEPEW, SCOTT EMORY	ELECTED MANAGER	2820574
FELICIANO, DEXTER MICHAEL	PRESIDENT	5483537
FONTANO, ANTHONY MICHAEL	ELECTED MANAGER	6852155
HYNES, PATRICK LIAM	CHAIRMAN, ELECTED MANAGER	2748918
KHAN, TIFFANY	ANTI-MONEY LAUNDERING OFFICER	7649686
MCGRATH, SHANE THOMAS	CHIEF COMPLIANCE OFFICER	4458909
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

Lucas Schmitz

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRUCO SECURITIES, LLC.

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 66

Passed: 7/13/2017

SIE

Passed: 10/1/2018

Series 7

Passed: 5/24/2017

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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