John G. Silbaugh

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CRD#: 827456

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.

John Gerald Silbaugh, who also goes by John G Silbaugh, was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1976. John had worked at 21 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

John G Silbaugh

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)

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 30, 2020 - September 14, 2021

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

ST. LOUIS PARK, MN

Past

March 30, 2020 - September 14, 2021

PRUCO SECURITIES, LLC.

CRD#: 5685

ST. LOUIS PARK, MN

Past

November 19, 2013 - April 8, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

PLYMOUTH, MN

Past

December 16, 2011 - April 8, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

PLYMOUTH, MN

Past

January 3, 2011 - December 21, 2011

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WAYZATA, MN

Past

January 3, 2011 - December 21, 2011

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

WAYZATA, MN

Past

March 24, 2009 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

WAYZATA, MN

Past

March 23, 2009 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

WAYZATA, MN

Past

April 2, 2007 - March 24, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

WAYZATA, MN

Past

July 12, 2001 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

WAYZATA, MN

Past

February 15, 1996 - January 29, 1999

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

February 14, 1996 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

July 15, 1992 - February 15, 1996

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

WELLESLEY HILLS, MA

Past

July 30, 1991 - July 22, 1992

MARINER FINANCIAL SERVICES, INC.

CRD#: 8292

LARGO, FL

Past

March 6, 1990 - July 25, 1991

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

November 19, 1989 - March 14, 1990

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

March 10, 1989 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

February 17, 1987 - March 14, 1989

SOUTHMARK FINANCIAL SERVICES, INC.

CRD#: 6518

Past

December 24, 1986 - March 3, 1987

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

July 14, 1986 - March 4, 1987

KEENAN & CLAREY, INC.

CRD#: 482

Past

October 11, 1985 - July 25, 1986

AAM SECURITIES, INC.

CRD#: 15383

Past

October 3, 1984 - October 18, 1985

OLD SLIP CAPITAL MANAGEMENT, INC.

CRD#: 7360

Past

April 13, 1984 - September 26, 1984

MASSACHUSETTS FINANCIAL SERVICES COMPANY

CRD#: 7383

Past

September 23, 1981 - March 19, 1984

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

Past

September 21, 1976 - August 23, 1981

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

September 21, 1976 - September 9, 1981

IDS LIFE INSURANCE COMPANY

CRD#: 6321

Past

September 21, 1976 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

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: 7/18/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/20/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/6/2001

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/11/2001

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 9/16/1976

Registered 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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Advisor Monitoring

Firm Stability Insights

John G. Silbaugh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRUCO SECURITIES, LLC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

SIGNATOR INVESTORS, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

MARINER FINANCIAL SERVICES, INC.

SUNAMERICA SECURITIES, INC.

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

SOUTHMARK FINANCIAL SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

KEENAN & CLAREY, INC.

AAM SECURITIES, INC.

OLD SLIP CAPITAL MANAGEMENT, INC.

MASSACHUSETTS FINANCIAL SERVICES COMPANY

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERICAN EXPRESS FINANCIAL CORPORATION

Primary Firm SEC Registration

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/18/2001

Series 63

Date: 11/20/1981

SIE

Date: 10/1/2018

Series 31

Date: 8/6/2001

Series 7

Date: 7/11/2001

Series 1

Date: 9/16/1976

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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