Hobert D. Farmer
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.
Hobert Daniel Farmer, who also goes by Dan Farmer, Hobert Daniel Farmewr, was a registered financial professional .
Hobert is a previously registered financial professional and started their career in finance in 1987. Hobert had worked at 12 firms and has passed the Series 65, Series 63 and Series 7 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 - March 18, 2014
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
September 17, 2002 - July 10, 2003
CITISTREET FINANCIAL SERVICES LLC
May 21, 2002 - July 10, 2003
CITISTREET EQUITIES LLC
January 1, 2000 - December 12, 2001
ALLEN C. EWING & CO.
January 10, 1997 - January 1, 2000
CAPITAL RESEARCH CORPORATION
June 7, 1996 - December 11, 1996
BUCKHEAD FINANCIAL CORPORATION
April 25, 1991 - December 31, 1991
ARGENT SECURITIES, INC.
March 15, 1991 - June 18, 1996
WALNUT STREET SECURITIES, INC.
November 16, 1990 - March 18, 1991
IFG NETWORK SECURITIES, INC.
March 14, 1990 - November 13, 1990
INVESTORS ASSET MANAGEMENT, INC.
November 2, 1987 - March 24, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
May 21, 1987 - October 5, 1987
W. D. MOORHEAD & CO.
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.
