RM
Richard K. Mastain
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
NEW YORK, NY 10055
Some features on this profile are disabled
CRD#: 1039540
RM
Professional summary
Richard Kent Mastain JR., who also goes by Rick Kent Mastain Jr., Rick Mastain Jr., is a registered financial professional currently at PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1982. Richard has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Rick Kent Mastain Jr. | Rick Mastain Jr.
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.
CRS (Client Relationship Summary) - BD
Click below to view Richard Kent Mastain JR.'s CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 17, 2001 - Present
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
Office #1: 55 East 52nd Street, New York, NY 10055BD
CRD#: 18353
NEW YORK, NY
Past
July 20, 1999 - September 29, 2000
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
MINNEAPOLIS, MN
Past
January 23, 1996 - August 28, 1997
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
CHICAGO, IL
Past
October 4, 1993 - December 16, 1994
FPS BROKER SERVICES, INC.
BD
CRD#: 25065
KING OF PRUSSIA, PA
Past
March 27, 1990 - March 9, 1993
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
NEWARK, NJ
Past
December 10, 1986 - May 1, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
August 12, 1982 - February 2, 1983
DEAM INVESTOR SERVICES, INC.
BD
CRD#: 754
Past
August 11, 1982 - December 17, 1986
BA INVESTMENT SERVICES, INC.
BD
CRD#: 12965
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/17/2001)
RR
Alaska(1/17/2001)
RR
Arizona(1/17/2001)
RR
Arkansas(1/17/2001)
RR
California(1/17/2001)
RR
Colorado(1/17/2001)
RR
Connecticut(1/17/2001)
RR
Delaware(1/17/2001)
RR
District of Columbia(1/17/2001)
RR
Florida(1/19/2001)
RR
Georgia(1/17/2001)
RR
Hawaii(1/17/2001)
RR
Idaho(1/17/2001)
RR
Illinois(1/17/2001)
RR
Indiana(1/17/2001)
RR
Iowa(1/17/2001)
RR
Kansas(1/17/2001)
RR
Kentucky(1/17/2001)
RR
Louisiana(1/22/2001)
RR
Maine(1/18/2001)
RR
Maryland(1/17/2001)
RR
Massachusetts(1/17/2001)
RR
Michigan(1/17/2001)
RR
Minnesota(1/17/2001)
RR
Mississippi(1/19/2001)
RR
Missouri(1/17/2001)
RR
Montana(1/22/2001)
RR
Nebraska(1/17/2001)
RR
Nevada(1/17/2001)
RR
New Hampshire(1/17/2001)
RR
New Jersey(1/17/2001)
RR
New Mexico(1/22/2001)
RR
New York(1/17/2001)
RR
North Carolina(1/17/2001)
RR
North Dakota(1/17/2001)
RR
Ohio(1/18/2001)
RR
Oklahoma(1/17/2001)
RR
Oregon(1/17/2001)
RR
Pennsylvania(1/17/2001)
RR
Rhode Island(1/17/2001)
RR
South Carolina(1/17/2001)
RR
South Dakota(1/17/2001)
RR
Tennessee(1/19/2001)
RR
Texas(1/17/2001)
RR
Utah(1/17/2001)
RR
Vermont(1/17/2001)
RR
Virginia(1/18/2001)
RR
Washington(1/17/2001)
RR
West Virginia(1/17/2001)
RR
Wisconsin(1/17/2001)
RR
Wyoming(1/17/2001)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PI
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
PAMCO SECURITIES CORPORATION | PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC | PRUDENTIAL ASSET MANAGEMENT COMPANY SECURITIES CORPORATION
CRD#: 18353 / SEC#: , 8-36540
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
655 Broad Street 19th Floor, Newark, NJ 07102
Mailing Address
655 Broad Street 19th Floor, Newark, NJ 07102
Phone number
(973) 802-6000
Established
Delaware since 10/09/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIFM HOLDCO, LLC | SOLE MEMBER | |
| HENNING, MEREDITH FARWELL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4315489 |
| LEE, H SOO | SENIOR VICE PRESIDENT AND CHIEF LEGAL OFFICER | 6834507 |
| LEIBOWITZ, KAREN | PRESIDENT AND CHIEF ADMINISTRATIVE OFFICER | 2693999 |
| SMIT, ROBERT PHILIP | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 2332366 |
| TAITE, LOUIS ANTHONY | CHIEF OPERATIONS OFFICER AND SENIOR VICE PRESIDENT | 5065572 |
Disclosures
| Regulatory Event | 6 |
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.
