SW
Stephen H. Weiss
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
Boston, MA 02110
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CRD#: 1983059
SW
Professional summary
Stephen Halperin Weiss, who also goes by Stephen Marc Weiss, is a registered financial professional currently at PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC located in Boston, Massachusetts.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1989. Stephen has worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 3, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Stephen Marc Weiss
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 Stephen Halperin Weiss'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®
NoneExperience
Current
July 3, 2024 - Present
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
Office #1: One International Place, Boston, MA 02110BD
CRD#: 18353
Boston, MA
Past
December 17, 2021 - April 19, 2024
SUN LIFE INSTITUTIONAL DISTRIBUTORS (U.S.) LLC
BD
CRD#: 170062
WELLESLEY HILLS, MA
Past
January 1, 2002 - December 21, 2012
GW&K INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 121942
BOSTON, MA
Past
May 8, 1998 - November 10, 1999
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
June 28, 1991 - April 10, 1997
FIDELITY DISTRIBUTORS CORPORATION
BD
CRD#: 6848
SMITHFIELD, RI
Past
September 5, 1989 - June 26, 1991
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
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(7/3/2024)
RR
Alaska(7/3/2024)
RR
Arizona(7/3/2024)
RR
Arkansas(7/3/2024)
RR
California(7/3/2024)
RR
Colorado(7/3/2024)
RR
Connecticut(7/3/2024)
RR
Delaware(7/3/2024)
RR
District of Columbia(7/3/2024)
RR
Florida(7/3/2024)
RR
Georgia(7/3/2024)
RR
Hawaii(7/3/2024)
RR
Idaho(7/3/2024)
RR
Illinois(7/3/2024)
RR
Indiana(7/3/2024)
RR
Iowa(7/3/2024)
RR
Kansas(7/3/2024)
RR
Kentucky(7/3/2024)
RR
Louisiana(7/3/2024)
RR
Maine(7/3/2024)
RR
Maryland(7/3/2024)
RR
Massachusetts(7/3/2024)
RR
Michigan(7/3/2024)
RR
Minnesota(7/3/2024)
RR
Mississippi(7/3/2024)
RR
Missouri(7/3/2024)
RR
Montana(7/3/2024)
RR
Nebraska(7/3/2024)
RR
Nevada(7/3/2024)
RR
New Hampshire(7/3/2024)
RR
New Jersey(7/3/2024)
RR
New Mexico(7/3/2024)
RR
New York(7/3/2024)
RR
North Carolina(7/3/2024)
RR
North Dakota(7/3/2024)
RR
Ohio(7/3/2024)
RR
Oklahoma(7/3/2024)
RR
Oregon(7/3/2024)
RR
Pennsylvania(7/3/2024)
RR
Rhode Island(7/3/2024)
RR
South Carolina(7/3/2024)
RR
South Dakota(7/3/2024)
RR
Tennessee(7/3/2024)
RR
Texas(7/3/2024)
RR
Utah(7/3/2024)
RR
Vermont(7/3/2024)
RR
Virginia(7/3/2024)
RR
Washington(7/3/2024)
RR
West Virginia(7/3/2024)
RR
Wisconsin(7/3/2024)
RR
Wyoming(7/3/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/17/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PI
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
PAMCO SECURITIES CORPORATION | PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC | PRUDENTIAL ASSET MANAGEMENT COMPANY SECURITIES CORPORATION
CRD#: 18353 / SEC#: , 8-36540
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
655 Broad Street 19th Floor, Newark, NJ 07102
Mailing Address
655 Broad Street 19th Floor, Newark, NJ 07102
Phone number
(973) 802-6000
Established
Delaware since 10/09/1996
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# |
|---|---|---|
| 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.
Company Information
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
CRD#: 18353Boston, MA 02110TRUST BUT VERIFY
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