Deborah K. Ozee
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.
Deborah Kay Ozee, who also goes by Debbie Gruse, Deborah Kay Gruse, Debbie Wiley, Deborah Kay Wiley, was a registered financial professional .
Deborah is a previously registered financial professional and started their career in finance in 1989. Deborah had worked at 5 firms and has passed the Series 65, Series 63, SIE 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
December 6, 2004 - November 3, 2020
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
February 18, 2000 - March 17, 2005
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
February 18, 2000 - December 6, 2004
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
May 17, 1991 - August 16, 1999
CHARLES SCHWAB & CO., INC.
December 20, 1989 - April 24, 1991
MORGAN STANLEY DW INC.
September 19, 1989 - January 15, 1990
LEHMAN BROTHERS 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.
