Theresa C. Thompson
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.
Theresa Curreri Thompson, who also goes by Terri Curreri, Theresa Lorraine Curreri, was a registered financial professional .
Theresa is a previously registered financial professional and started their career in finance in 1986. Theresa had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 24, Series 14 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2003 - June 2, 2017
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
January 13, 1999 - December 8, 2003
PRUDENTIAL EQUITY GROUP, LLC
June 9, 1998 - September 2, 1998
LORD ABBETT DISTRIBUTOR LLC
April 17, 1995 - May 13, 1998
SALOMON BROTHERS INC.
May 7, 1990 - February 17, 1995
GOLDMAN SACHS & CO. LLC
March 16, 1987 - June 11, 1990
LEHMAN BROTHERS INC.
May 20, 1986 - October 29, 1986
PRUDENTIAL EQUITY GROUP, LLC
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
Series 8
Date: 2/28/1994
General Securities Sales Supervisor Examination (Options Module & General Module)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.
