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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

Douglas L Woolbert

Advisor at PRUCO SECURITIES, LLC

CAZENOVIA, NY | NEWARK, NJ

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Search this name across graphsid dfx:ria:8e9d907b-5815-9857-6178-3f8d61327e2a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Sep 10, 2002 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: PRUCO SECURITIES, LLC
Current firm class: no raum reportedderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 19, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Nov 19, 1996
First registration: Sep 10, 2002
Dual registered: yes, broker-dealer
Other names: DOUG WOOLBERT|DOUGLAS LANE WOOLBERT|DOUGLAS L WOOLBERT
IAPD individual key: 2789885

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PRUCO SECURITIES, LLC	No RAUM reported	Jun 30, 2021	n/a	yes	CAZENOVIA, NY\|NEWARK, NJ	Current employment
PRUDENTIAL SELECT STRATEGIES LLC	Institutional manager	Oct 26, 2018	Jul 2, 2021	no	CAZENOVIA, NY	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Nov 29, 2017	Aug 6, 2018	no	SYRACUSE, NY	Previous registration
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Jan 8, 2009	Aug 29, 2016	no	ARLINGTON, VA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Oct 20, 2004	Jan 16, 2007	no	LINCOLNR, RI\|LINCOLN, RI	Previous registration
QUICK & REILLY, INC.	n/a	Sep 10, 2002	Oct 20, 2004	no	LINCOLN, RI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PRUDENTIAL SELECT STRATEGIES LLC	PRUCO SECURITIES, LLC	Jul 2, 2021	Jun 30, 2021	-2	Channel change	RIA to ibd
EQUITABLE ADVISORS, LLC	PRUDENTIAL SELECT STRATEGIES LLC	Aug 6, 2018	Oct 26, 2018	81	Firm change	Ibd to RIA
E*TRADE CAPITAL MANAGEMENT, LLC	EQUITABLE ADVISORS, LLC	Aug 29, 2016	Nov 29, 2017	457	Firm change after gap	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	E*TRADE CAPITAL MANAGEMENT, LLC	Jan 16, 2007	Jan 8, 2009	723	Firm change after gap	Other
QUICK & REILLY, INC.	BANC OF AMERICA INVESTMENT SERVICES, INC.	Oct 20, 2004	Oct 20, 2004	0	Bulk transfer	Other

Relationships

Registered with (6)

→ PRUCO SECURITIES, LLCRegistered adviserregistration: current employment
Jun 30, 2021 to presentfactForm ADV
→ PRUDENTIAL SELECT STRATEGIES LLCRegistered adviserregistration: previous registration
Oct 26, 2018 to Jul 2, 2021factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Nov 29, 2017 to Aug 6, 2018factForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jan 8, 2009 to Aug 29, 2016factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Oct 20, 2004 to Jan 16, 2007factForm ADV
→ QUICK & REILLY, INC.Registered adviserregistration: previous registration
Sep 10, 2002 to Oct 20, 2004factForm ADV

Dated events

No dated event names this entity yet.