Earl
Phillips

Pruco Securities, LLC

CRD#1775959
Investment Advisor
in Auburn, NY

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About this Advisor

Earl Phillips is a financial advisor based out of Auburn, New York with a total of 2 years of industry experience. Phillips works at Pruco Securities, LLC. Throughout their career, Phillips has worked at Prudential Insurance Company Of America and Pruco Securities, LLC. Phillips holds a Series 63 license, qualifying them as a securities representative, and is able to operate in New York. Pruco Securities, LLC is a registered investment company that has its headquarters in Newark, NJ. The investment advisory business has offices in 42 locations and a total of 2,500 people on staff. It handles $14 billion in assets under management among its 106,737 customer accounts, making it one of the largest financial advisory firms in the country by assets under management. Of its 106,737 accounts, just 1% belong to high-net-worth clients who have greater than $1 million in assets available to invest. Pruco Securities, LLC performs a number of services, including financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, selection of other advisers and educational seminars. Fees charged by financial advisors largely are based on which services are offered. Fee types charged by Pruco Securities, LLC most likely are comprised of some blend of asset-based, hourly and fixed fees.

Certifications and Registrations

Series 63

Years Registered*

2 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Selection of other advisers, Educational seminars/workshops

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees

Office Location

33 William Street Suite 8
Auburn, NY 13021

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Pruco Securities, LLC Brokerage Details

Total Assets Under Management

$14,029,321,422

NY Average: $10,121,009,343
Total Number of Employees

2,500

NY Average: 92
Total Number of Accounts

106,737

NY Average: 6,978
Average Account Size

$131,438

NY Average: $1,450,417

Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Selection of other advisers
  • Educational seminars/workshops

Earl Phillips Work History

Earl has been registered as a financial advisor for 2 years.*

1987 - Present (36 years)

Prudential Insurance Company Of America

1987 - Present (36 years)

Pruco Securities, LLC

*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.

Disclosures

Please visit the SEC profile of Earl Phillips to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

Financial Advisors at Prudential Financial Planning Services

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Newark, NJ
Roy Carrera
Milwaukee, WI
Douglas Ireland
Danville, IL
James Mashey
Sarver, PA
Oksana Flaks
Brooklyn, NY
Kevin Shelton
San Jose, CA

The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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