George P. Waldeck
Professional summary
George Philip Waldeck JR, who also goes by George Philip Waldeck, Phil Waldeck, is a registered financial professional currently at PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC located in Newark, New Jersey.
George is registered as a RR (Registered Representative) and started their career in finance in 1984. George has worked at 5 firms and has passed the Series 63, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view George Philip Waldeck JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 15, 2022 - Present
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
Office #1: 655 Broad Street, Newark, NJ 07102December 6, 2004 - July 7, 2017
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
July 18, 1997 - December 6, 2004
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
January 22, 1992 - July 18, 1997
LINCOLN FINANCIAL DISTRIBUTORS, INC.
November 21, 1989 - December 31, 1991
CIGNA CAPITAL BROKERAGE, INC.
October 2, 1984 - March 20, 1987
TOWER SQUARE SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
FINRA
Current Firm
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
CRD#: 18353 / SEC#: , 8-36540
Contact information
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
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