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SK

Sean D. Kath

PRUDENTIAL ANNUITIES DISTRIBUTORS,
Alpharetta, GA
Some features on this profile are disabled
CRD#: 2025913
SK

Professional summary

Sean David Kath, CFP® is a registered financial professional currently at PRUDENTIAL ANNUITIES DISTRIBUTORS, INC located in Alpharetta, Georgia.

Sean is registered as a RR (Registered Representative) and started their career in finance in 1990. Sean has worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 6 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sean David Kath's CRS (Customer Relationship Summary).
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®
CFP®

Certified Financial Planner

Experience

Current

March 26, 2020 - Present

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BD
CRD#: 21570
Alpharetta, GA
Past

April 15, 2020 - November 17, 2020

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
Cranbury, NJ
Past

June 21, 2002 - March 31, 2020

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
CRANBERRY, NJ
Past

January 29, 1990 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

January 29, 1990 - March 31, 2020

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
LAWRENCEVILLE, NJ

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
California
(3/26/2020)
RR
Florida
(3/26/2020)
RR
New Jersey
(3/26/2020)
RR
New Mexico
(1/23/2025)
RR
Rhode Island
(3/26/2020)
RR
South Dakota
(3/26/2020)
RR
Vermont
(3/26/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/19/1999
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/26/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/22/1990
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 9/25/2003
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PA
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
AMERICAN SKANDIA MARKETING, INC. | PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570 / SEC#: , 8-39058

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
One Corporate Drive, Shelton, CT 06484
Mailing Address
One Corporate Drive, Shelton, CT 06484
Phone number
(800) 628-6039
Established
Delaware since 09/08/1987
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
THE PRUDENTIAL INSURANCE COMPANY OF AMERICASHAREHOLDER COMMON
CARROLL, TRACEY MARIACHIEF OPERATING OFFICER5841463
CARROLL, TRACEY MARIAPRESIDENT5841463
HAGGERTY, SCOTT PETERCHIEF EXECUTIVE OFFICER2619329
MCGRATH, SHANE THOMASCHIEF COMPLIANCE OFFICER4458909
SMIT, ROBERT PHILIPFINOP, CFO2332366
THOMSEN, JORDAN KCHIEF LEGAL OFFICER AND SECRETARY2821664

Disclosures

Regulatory Event2
Civil Event1

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 ANNUITIES DISTRIBUTORS, INC

CRD#: 21570Alpharetta, GA

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