PRUDENTIAL SECURITIES INCORPORATED
CRD #7471 SEC #801-16801 NEW YORK, NY 212-214-1000
SEC Registered Broker-Dealer
Total AUM
$35.4B
Discretionary
$123.9M
Employees
--
Clients
--
Accounts
259,438
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 27, 2002
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ANDERSON, WILLIAM HEARTLY | I | DIRECTOR, EXECUTIVE VICE PRESIDENT AND CHIEF ADMINISTRATIVE OFFICER | NA | |
| BLUHER, JOHN HALE | I | DIRECTOR OF COMPLIANCE & SENIOR VICE PRESIDENT | NA | |
| BLUHER, JOHN HALE | I | DIRECTOR OF COMPLIANCE & SENIOR VICE PRESIDENT | NA | |
| BLUHER, JOHN HALE | I | DIRECTOR OF COMPLIANCE & SENIOR VICE PRESIDENT | NA | |
| BLUHER, JOHN HALE | I | DIRECTOR OF COMPLIANCE & SENIOR VICE PRESIDENT | NA | |
| BLUHER, JOHN HALE | I | DIRECTOR OF COMPLIANCE & SENIOR VICE PRESIDENT | NA | |
| BLUHER, JOHN HALE | I | DIRECTOR OF COMPLIANCE & SENIOR VICE PRESIDENT | NA | |
| DUGAN, MICHAEL JOSEPH | I | CHIEF FINANCIAL OFFICER, CHIEF ADMINISTRATIVE AND OPERATIONS OFFICER | NA | |
| DUGAN, MICHAEL JOSEPH | I | CHIEF FINANCIAL OFFICER, CHIEF ADMINISTRATIVE AND OPERATIONS OFFICER | NA | |
| DUGAN, MICHAEL JOSEPH | I | CHIEF FINANCIAL OFFICER, CHIEF ADMINISTRATIVE AND OPERATIONS OFFICER | NA | |
| DUGAN, MICHAEL JOSEPH | I | MANAGING DIRECTOR - CHIEF ADMINISTRATIVE AND OPERATIONS OFFICER | NA | |
| DUGAN, MICHAEL JOSEPH | I | MANAGING DIRECTOR - CHIEF ADMINISTRATIVE AND OPERATIONS OFFICER | NA | |
| FARLEY, THOMAS M JR | I | EXECUTIVE VICE PRESIDENT | NA | |
| FARLEY, THOMAS M JR | I | EXECUTIVE VICE PRESIDENT | NA | |
| FARLEY, THOMAS M JR | I | EXECUTIVE VICE PRESIDENT | NA | |
| FARLEY, THOMAS M JR | I | EXECUTIVE VICE PRESIDENT | NA | |
| FARLEY, THOMAS M JR | I | EXECUTIVE VICE PRESIDENT | NA | |
| FARLEY, THOMAS M JR | I | EXECUTIVE VICE PRESIDENT | NA | |
| FISHER, GEORGE ROSS IV | I | EXECUTIVE VICE PRESIDENT AND DIRECTOR | NA | |
| GREWE, MARK ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | |
| GREWE, MARK ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | |
| GREWE, MARK ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | |
| GREWE, MARK ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | |
| GREWE, MARK ROBERT | I | CHIEF COMPLIANCE OFFICER | NA | |
| HORAN, WILLIAM JOHN | I | CHIEF FINANCIAL OFFICE AND EXECUTIVE VICE PRESIDENT | NA | |
| HORAN, WILLIAM JOHN | I | CHIEF FINANCIAL OFFICE AND EXECUTIVE VICE PRESIDENT | NA | |
| HORAN, WILLIAM JOHN | I | CHIEF FINANCIAL OFFICE AND EXECUTIVE VICE PRESIDENT | NA | |
| HORAN, WILLIAM JOHN | I | CHIEF FINANCIAL OFFICE AND EXECUTIVE VICE PRESIDENT | NA | |
| HORAN, WILLIAM JOHN | I | CHIEF FINANCIAL OFFICE AND EXECUTIVE VICE PRESIDENT | NA | |
| HORAN, WILLIAM JOHN | I | CHIEF FINANCIAL OFFICE AND EXECUTIVE VICE PRESIDENT | NA | |
| HORAN, WILLIAM JOHN | I | CHIEF FINANCIAL OFFICER & EXECUTIVE VICE PRESIDENT | NA | |
| HORAN, WILLIAM JOHN | I | CHIEF FINANCIAL OFFICER & EXECUTIVE VICE PRESIDENT | NA | |
| LAWSON, RODGER ALAN | I | MANAGER AND VICE CHAIRMAN | NA | Control |
| LAWSON, RODGER ALAN | I | MANAGER AND VICE CHAIRMAN | NA | Control |
| LAWSON, RODGER ALAN | I | MANAGER AND VICE CHAIRMAN | NA | Control |
| LAWSON, RODGER ALAN | I | DIRECTOR AND VICE CHAIRMAN | NA | Control |
| LAWSON, RODGER ALAN | I | DIRECTOR AND VICE CHAIRMAN | NA | Control |
| LIFTIN, JOHN MATTHEW | I | DIRECTOR | NA | |
| LIFTIN, JOHN MATTHEW | I | DIRECTOR | NA | |
| LIFTIN, JOHN MATTHEW | I | DIRECTOR | NA | |
| LIFTIN, JOHN MATTHEW | I | DIRECTOR | NA | |
| LIFTIN, JOHN MATTHEW | I | DIRECTOR | NA | |
| MASSEY, STEPHEN LEIGH | I | DIRECTOR - EXECUTIVE VICE PRESIDENT | NA | |
| MASSEY, STEPHEN LEIGH | I | DIRECTOR - EXECUTIVE VICE PRESIDENT | NA | |
| MASSEY, STEPHEN LEIGH | I | DIRECTOR - EXECUTIVE VICE PRESIDENT | NA | |
| MASSEY, STEPHEN LEIGH | I | DIRECTOR - EXECUTIVE VICE PRESIDENT | NA | |
| MASSEY, STEPHEN LEIGH | I | DIRECTOR - EXECUTIVE VICE PRESIDENT | NA | |
| MASSEY, STEPHEN LEIGH | I | DIRECTOR - EXECUTIVE VICE PRESIDENT | NA | |
| ODENATH, DAVID ROEHNER JR | I | DIRECTOR | NA | |
| ODENATH, DAVID ROEHNER JR | I | DIRECTOR | NA | |
| ODENATH, DAVID ROEHNER JR | I | DIRECTOR | NA | |
| ODENATH, DAVID ROEHNER JR | I | DIRECTOR | NA | |
| ODENATH, DAVID ROEHNER JR | I | DIRECTOR | NA | |
| ODENATH, DAVID ROEHNER JR | I | DIRECTOR | NA | |
| OWENS, THOMAS J | I | EXECUTIVE VICE PRESIDENT | NA | |
| OWENS, THOMAS J | I | EXECUTIVE VICE PRESIDENT | NA | |
| OWENS, THOMAS J | I | EXECUTIVE VICE PRESIDENT | NA | |
| OWENS, THOMAS J | I | EXECUTIVE VICE PRESIDENT | NA | |
| OWENS, THOMAS J | I | EXECUTIVE VICE PRESIDENT | NA | |
| OWENS, THOMAS J | I | EXECUTIVE VICE PRESIDENT | NA | |
| PRICE, JAMES DALE | I | PRESIDENT AND DIRECTOR | NA | |
| PRICE, JAMES DALE | I | PRESIDENT AND DIRECTOR | NA | |
| PRICE, JAMES DALE | I | PRESIDENT AND DIRECTOR | NA | |
| PRICE, JAMES DALE | I | PRESIDENT AND DIRECTOR | NA | |
| PRICE, JAMES DALE | I | PRESIDENT AND DIRECTOR | NA | |
| PRICE, JAMES DALE | I | PRESIDENT AND DIRECTOR | NA | |
| RICE, JUDY ANN | I | MANAGER | NA | Control |
| RICE, JUDY ANN | I | MANAGER | NA | Control |
| RICE, JUDY ANN | I | MANAGER | NA | Control |
| RICE, JUDY ANN | I | DIRECTOR | NA | Control |
| RICE, JUDY ANN | I | DIRECTOR | NA | Control |
| SHEA, MICHAEL JOSEPH | I | MANAGER AND EXECUTIVE VICE PRESIDENT | NA | Control |
| SHEA, MICHAEL JOSEPH | I | DIRECTOR - EXECUTIVE VICE PRESIDENT | NA | |
| SHEA, MICHAEL JOSEPH | I | DIRECTOR - EXECUTIVE VICE PRESIDENT | NA | |
| SHEA, MICHAEL JOSEPH | I | DIRECTOR - EXECUTIVE VICE PRESIDENT | NA | |
| SHEA, MICHAEL JOSEPH | I | DIRECTOR - EXECUTIVE VICE PRESIDENT | NA | |
| SHEA, MICHAEL JOSEPH | I | MANAGER AND EXECUTIVE VICE PRESIDENT | NA | Control |
| SHEA, MICHAEL JOSEPH | I | MANAGER AND EXECUTIVE VICE PRESIDENT | NA | Control |
| SHEA, MICHAEL JOSEPH | I | DIRECTOR - EXECUTIVE VICE PRESIDENT | NA | |
| SHEA, MICHAEL JOSEPH | I | DIRECTOR - EXECUTIVE VICE PRESIDENT | NA | Control |
| SHEA, MICHAEL JOSEPH | I | DIRECTOR - EXECUTIVE VICE PRESIDENT | NA | Control |
| STEINBERG, HOWARD E. | I | MANAGER AND EXECUTIVE VICE PRESIDENT | NA | Control |
| STEINBERG, HOWARD E. | I | MANAGER AND EXECUTIVE VICE PRESIDENT | NA | Control |
| STEINBERG, HOWARD E. | I | MANAGER AND EXECUTIVE VICE PRESIDENT | NA | Control |
| STEINBERG, HOWARD E. | I | DIRECTOR AND EXECUTIVE VICE PRESIDENT | NA | |
| STEINBERG, HOWARD E. | I | DIRECTOR AND EXECUTIVE VICE PRESIDENT | NA | Control |
| STEINBERG, HOWARD E. | I | DIRECTOR AND EXECUTIVE VICE PRESIDENT | NA | Control |
| STRANGFELD, JOHN ROBERT JR | I | CHIEF EXECUTIVE OFFICER AND CHAIRMAN | NA | Control |
| STRANGFELD, JOHN ROBERT JR | I | MANAGER, CHIEF EXECUTIVE OFFICER AND CHAIRMAN | NA | Control |
| STRANGFELD, JOHN ROBERT JR | I | CHIEF EXECUTIVE OFFICER AND CHAIRMAN | NA | Control |
| STRANGFELD, JOHN ROBERT JR | I | CHIEF EXECUTIVE OFFICER AND CHAIRMAN | NA | Control |
| STRANGFELD, JOHN ROBERT JR | I | CHIEF EXECUTIVE OFFICER AND CHAIRMAN | NA | Control |
| STRANGFELD, JOHN ROBERT JR | I | CHIEF EXECUTIVE OFFICER AND CHAIRMAN | NA | Control |
| STRANGFELD, JOHN ROBERT JR | I | MANAGER, CHIEF EXECUTIVE OFFICER AND CHAIRMAN | NA | Control |
| STRANGFELD, JOHN ROBERT JR | I | MANAGER, CHIEF EXECUTIVE OFFICER AND CHAIRMAN | NA | Control |
| STRANGFELD, JOHN ROBERT JR | I | CHIEF EXECUTIVE OFFICER AND CHAIRMAN | NA | Control |
| STRANGFELD, JOHN ROBERT JR | I | CHIEF EXECUTIVE OFFICER AND CHAIRMAN | NA | Control |
| STRANGFELD, JOHN ROBERT JR | I | CHIEF EXECUTIVE OFFICER AND CHAIRMAN | NA | Control |
| VANCE, JUDITH YOUNG | I | DIRECTOR - SECRETARY - EXECUTIVE VICE PRESIDENT | NA | |
| VANCE, JUDITH YOUNG | I | DIRECTOR - SECRETARY - EXECUTIVE VICE PRESIDENT | NA | |
| VANCE, JUDITH YOUNG | I | DIRECTOR - SECRETARY - EXECUTIVE VICE PRESIDENT | NA | |
| VANCE, JUDITH YOUNG | I | DIRECTOR - SECRETARY - EXECUTIVE VICE PRESIDENT | NA | |
| VANCE, JUDITH YOUNG | I | DIRECTOR - SECRETARY - EXECUTIVE VICE PRESIDENT | NA | |
| VANCE, JUDITH YOUNG | I | DIRECTOR - SECRETARY - EXECUTIVE VICE PRESIDENT | NA | |
| VANCE, JUDITH YOUNG | I | DIRECTOR - SECRETARY - EXECUTIVE VICE PRESIDENT | NA | Control |
| VANCE, JUDITH YOUNG | I | DIRECTOR - SECRETARY - EXECUTIVE VICE PRESIDENT | NA | Control |
| PRUDENTIAL SECURITIES GROUP INC.["PSG"] PARENT OF PRUDENTIAL SECURITIES INCORPORATED | DE | SHAREHOLDER DIRECT | E | Control |
| PRUDENTIAL SECURITIES GROUP INC.["PSG"] PARENT OF PRUDENTIAL SECURITIES INCORPORATED | DE | SHAREHOLDER DIRECT | E | Control |
| PRUDENTIAL SECURITIES GROUP INC.["PSG"] PARENT OF PRUDENTIAL SECURITIES INCORPORATED | DE | SHAREHOLDER DIRECT | E | Control |
| PRUDENTIAL SECURITIES GROUP INC.["PSG"] PARENT OF PRUDENTIAL SECURITIES INCORPORATED | DE | SHAREHOLDER DIRECT | E | Control |
| PRUDENTIAL SECURITIES GROUP INC.["PSG"] PARENT OF PRUDENTIAL SECURITIES INCORPORATED | DE | SHAREHOLDER DIRECT | E | Control |
| PRUDENTIAL SECURITIES GROUP INC.["PSG"] PARENT OF PRUDENTIAL SECURITIES INCORPORATED | DE | SHAREHOLDER DIRECT | E | Control |
| PRUDENTIAL SECURITIES GROUP INC.["PSGI"] PARENT OF PRUDENTIAL EQUITY GROUP, INC. | DE | SHAREHOLDER DIRECT | E | Control |
| PRUDENTIAL SECURITIES GROUP INC.["PSGI"] PARENT OF PRUDENTIAL EQUITY GROUP, INC. | DE | SHAREHOLDER DIRECT | E | Control |
| PRUDENTIAL SECURITIES GROUP INC.["PSGI"] PARENT OF PRUDENTIAL EQUITY GROUP, INC. | DE | SHAREHOLDER DIRECT | E | Control |
| PRUDENTIAL SECURITIES GROUP INC.["PSGI"] PARENT OF PRUDENTIAL EQUITY GROUP, LLC | DE | SHAREHOLDER DIRECT | E | Control |
| PRUDENTIAL SECURITIES GROUP INC.["PSGI"] PARENT OF PRUDENTIAL EQUITY GROUP, LLC | DE | SHAREHOLDER DIRECT | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| PRUCO, INC. | DE | PRUDENTIAL CAPITAL AND INVESTMENT SERVICES, INC. | E | Control |
| PRUCO, INC. | DE | PRUDENTIAL CAPITAL AND INVESTMENT SERVICES, INC. | E | Control |
| PRUCO, INC. | DE | PRUDENTIAL CAPITAL AND INVESTMENT SERVICES, INC. | E | Control |
| PRUCO, INC. | DE | PRUDENTIAL CAPITAL AND INVESTMENT SERVICES, INC. | E | Control |
| PRUCO, INC. | DE | PRUDENTIAL CAPITAL AND INVESTMENT SERVICES, INC. | E | Control |
| PRUCO, INC. | DE | PRUDENTIAL CAPITAL AND INVESTMENT SERVICES, INC. | E | Control |
| PRUCO, INC. | DE | PRUDENTIAL CAPITAL AND INVESTMENT SERVICES, INC. | E | Control |
| PRUCO, INC. | DE | PRUDENTIAL CAPITAL AND INVESTMENT SERVICES, INC. | E | Control |
| PRUCO, INC. | DE | PRUDENTIAL CAPITAL AND INVESTMENT SERVICES, INC. | E | Control |
| PRUCO, INC. | DE | PRUDENTIAL CAPITAL AND INVESTMENT SERVICES, INC. | E | Control |
| PRUCO, INC. | DE | PRUDENTIAL CAPITAL AND INVESTMENT SERVICES, INC. | E | Control |
| PRUDENTIAL CAPITAL AND INVESTMENT SERVICES, INC. | DE | PRUDENTIAL SECURITIES GROUP INC. | E | Control |
| PRUDENTIAL CAPITAL AND INVESTMENT SERVICES, INC. | DE | PRUDENTIAL SECURITIES GROUP INC. | E | Control |
| PRUDENTIAL CAPITAL AND INVESTMENT SERVICES, INC. | DE | PRUDENTIAL SECURITIES GROUP INC. | E | Control |
| PRUDENTIAL CAPITAL AND INVESTMENT SERVICES, INC. | DE | PRUDENTIAL SECURITIES GROUP INC. | E | Control |
| PRUDENTIAL CAPITAL AND INVESTMENT SERVICES, INC. | DE | PRUDENTIAL SECURITIES GROUP INC. | E | Control |
| PRUDENTIAL CAPITAL AND INVESTMENT SERVICES, INC. | DE | PRUDENTIAL SECURITIES GROUP INC. | E | Control |
| PRUDENTIAL CAPITAL AND INVESTMENT SERVICES, INC. | DE | PRUDENTIAL SECURITIES GROUP INC. | E | Control |
| PRUDENTIAL CAPITAL AND INVESTMENT SERVICES, INC. | DE | PRUDENTIAL SECURITIES GROUP INC. | E | Control |
| PRUDENTIAL CAPITAL AND INVESTMENT SERVICES, INC. | DE | PRUDENTIAL SECURITIES GROUP INC. | E | Control |
| PRUDENTIAL CAPITAL AND INVESTMENT SERVICES, INC. | DE | PRUDENTIAL SECURITIES GROUP INC. | E | Control |
| PRUDENTIAL CAPITAL AND INVESTMENT SERVICES, INC. | DE | PRUDENTIAL SECURITIES GROUP INC. | E | Control |
| PRUDENTIAL FINANCIAL, INC. | DE | PRUCO, INC. | E | Control |
| PRUDENTIAL FINANCIAL, INC. | DE | PRUCO, INC. | E | Control |
| PRUDENTIAL FINANCIAL, INC. | DE | PRUCO, INC. | E | Control |
| PRUDENTIAL FINANCIAL, INC. | DE | PRUCO, INC. | E | Control |
| PRUDENTIAL FINANCIAL, INC. | DE | PRUCO, INC. | E | Control |
| PRUDENTIAL FINANCIAL, INC. | DE | PRUCO, INC. | E | Control |
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | DE | PRUCO, INC. | E | Control |
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | DE | PRUCO, INC. | E | Control |
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | DE | PRUCO, INC. | E | Control |
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | DE | PRUCO, INC. | E | Control |
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | DE | PRUCO, INC. | E | Control |
Registrations
Federal
IA
Mar 27, 2002 REGISTERED
Notice Filings (47)
AK AL AR CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK PA RI SC SD TN TX UT VA VT WA WI WV
Address
ONE SEAPORT PLAZA199 WATER STREET
NEW YORK, NY 10292-0135
USA
Phone: 212-214-1000