Barry A. Rosett
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Barry Alan Rosett was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1984. Barry had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 22, 2003 - July 10, 2015
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
December 31, 2001 - July 7, 2003
OSAIC FA, INC.
August 23, 2000 - July 7, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 23, 2000 - July 7, 2003
OSAIC FA, INC.
June 2, 2000 - August 15, 2000
METROPOLITAN LIFE INSURANCE COMPANY
June 2, 2000 - August 15, 2000
MSI FINANCIAL SERVICES, INC.
January 27, 1999 - May 31, 2000
FULCRUM FINANCIAL ADVISORS, INC.
September 11, 1998 - January 13, 1999
MM ASCEND LIFE INVESTOR SERVICES, LLC
July 31, 1984 - July 1, 1998
METROPOLITAN LIFE INSURANCE COMPANY
July 31, 1984 - July 1, 1998
MSI FINANCIAL SERVICES, 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
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
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.
