JP
John D. Prosperi
PIMCO INVESTMENTS LLC
Miami, FL 33131
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CRD#: 1587475
JP
Professional summary
John Daniel Prosperi, CIMA® is a registered financial professional currently at PIMCO INVESTMENTS LLC located in Miami, Florida.
John is registered as a RR (Registered Representative) and started their career in finance in 1987. John has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24, Series 51 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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 John Daniel Prosperi'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®
Experience
Current
June 23, 2023 - Present
PIMCO INVESTMENTS LLC
Office #1: 600 Brickell Avenue 21st Floor, Miami, FL 33131BD
CRD#: 154957
Miami, FL
Past
April 26, 2017 - December 21, 2022
SANFORD C. BERNSTEIN & CO., LLC
BD
CRD#: 104474
NASHVILLE, TN
Past
February 20, 2007 - June 14, 2023
ALLIANCEBERNSTEIN L.P.
RIA
CRD#: 108477
NEW YORK, NY
Past
November 4, 2005 - June 14, 2023
ALLIANCEBERNSTEIN INVESTMENTS, INC.
BD
CRD#: 14549
NEW YORK, NY
Past
November 8, 2002 - October 11, 2005
FLAGSTONE SECURITIES, LLC
BD
CRD#: 104451
ST. LOUIS, MO
Past
March 11, 2002 - March 7, 2007
ARGENT CAPITAL MANAGEMENT LLC
RIA
CRD#: 107930
ST. LOUIS, MO
Past
October 5, 2000 - December 7, 2000
BLACKROCK EXECUTION SERVICES
BD
CRD#: 39438
NEW YORK, NY
Past
May 18, 1999 - August 4, 2000
FUNDS DISTRIBUTOR, LLC
BD
CRD#: 7174
PORTLAND, ME
Past
May 20, 1997 - March 17, 1999
LINDNER ASSET MANAGEMENT, INC.
BD
CRD#: 35084
ST. LOUIS, MO
Past
November 1, 1994 - October 27, 1995
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
Past
January 6, 1992 - April 8, 1994
CAPITAL CLIENT GROUP, INC.
BD
CRD#: 6247
LOS ANGELES, CA
Past
June 6, 1990 - December 16, 1991
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
Past
July 29, 1987 - June 14, 1988
GLOBAL ATLANTIC DISTRIBUTORS, LLC
BD
CRD#: 8326
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(6/23/2023)
RR
Alaska(6/23/2023)
RR
Arizona(6/23/2023)
RR
Arkansas(6/23/2023)
RR
California(6/23/2023)
RR
Colorado(6/23/2023)
RR
Connecticut(6/23/2023)
RR
Delaware(6/23/2023)
RR
District of Columbia(6/23/2023)
RR
Florida(6/23/2023)
RR
Georgia(6/23/2023)
RR
Hawaii(6/23/2023)
RR
Idaho(6/23/2023)
RR
Illinois(6/23/2023)
RR
Indiana(6/23/2023)
RR
Iowa(6/23/2023)
RR
Kansas(6/23/2023)
RR
Kentucky(6/23/2023)
RR
Louisiana(6/23/2023)
RR
Maine(6/23/2023)
RR
Maryland(6/23/2023)
RR
Massachusetts(6/23/2023)
RR
Michigan(6/23/2023)
RR
Minnesota(6/23/2023)
RR
Mississippi(6/23/2023)
RR
Missouri(6/23/2023)
RR
Montana(6/23/2023)
RR
Nebraska(6/23/2023)
RR
Nevada(6/23/2023)
RR
New Hampshire(6/23/2023)
RR
New Jersey(6/23/2023)
RR
New Mexico(6/23/2023)
RR
New York(6/23/2023)
RR
North Carolina(6/23/2023)
RR
North Dakota(6/23/2023)
RR
Ohio(6/28/2023)
RR
Oklahoma(6/23/2023)
RR
Oregon(6/23/2023)
RR
Pennsylvania(6/23/2023)
RR
Puerto Rico(1/2/2025)
RR
Rhode Island(6/23/2023)
RR
South Carolina(6/23/2023)
RR
South Dakota(6/23/2023)
RR
Tennessee(6/23/2023)
RR
Texas(6/23/2023)
RR
Utah(6/23/2023)
RR
Vermont(6/23/2023)
RR
Virgin Islands(1/2/2025)
RR
Virginia(6/23/2023)
RR
Washington(6/23/2023)
RR
West Virginia(6/23/2023)
RR
Wisconsin(6/23/2023)
RR
Wyoming(6/23/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PI
PIMCO INVESTMENTS LLC
PIMCO INVESTMENTS LLC
CRD#: 154957 / SEC#: , 8-68686
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1633 Broadway 45th Floor, New York, NY 10019
Mailing Address
1633 Broadway 45th Floor, New York, NY 10019
Phone number
(212) 739-3000
Established
Delaware since 07/07/2010
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# |
|---|---|---|
| PACIFIC INVESTMENT MANAGEMENT COMPANY LLC | SOLE MEMBER | 104559 |
| BENTLEY, JAMES DANIEL | MANAGER, BOARD OF MANAGERS | 5138093 |
| BURG, ANTHONY ALAN | TREASURER | 6005184 |
| DUBITZKY, YITZHAK ZVI | CHIEF COMPLIANCE OFFICER & CHIEF LEGAL OFFICER | 6897287 |
| FERRARI, DAVID RICHARD | PRINCIPAL FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | 6004690 |
| HALL, GREGORY WESTON | PRINCIPAL EXECUTIVE OFFICER & CHAIRMAN, BOARD OF MANAGERS | 3111343 |
| OGLESBY, SARAH JANE | SECRETARY | 7676855 |
| PITTERS, CALEB JOSEPH ALEXANDER JR | MANAGER, BOARD OF MANAGERS | 3198603 |
| SUTHERLAND, ERIC MICHAEL | PRESIDENT & MANAGER, BOARD OF MANAGERS | 1724744 |
| THOMAS, MARK GARETH | HEAD OF BUSINESS MANAGEMENT | 2923871 |
| TRACY, LAUREN RITA | MANAGER, BOARD OF MANAGERS | 4027974 |
| WHITTAKER, MEGAN HAYES | AML COMPLIANCE OFFICER | 6442805 |
Red Flags
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Company Information
PIMCO INVESTMENTS LLC
CRD#: 154957Miami, FL 33131TRUST BUT VERIFY
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Contact information
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