BC
Brian J. Carroll
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
Newark, NJ 07102
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CRD#: 2049432
BC
Professional summary
Brian James Carroll MR. is a registered financial professional currently at PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC located in Newark, New Jersey.
Brian is registered as a RR (Registered Representative) and started their career in finance in 1990. Brian has worked at 9 firms and has passed the Series 65, Series 63, 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.
CRS (Client Relationship Summary) - BD
Click below to view Brian James Carroll MR.'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
December 13, 2021 - Present
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
Office #1: 655 Broad St Fl 15, Newark, NJ 07102BD
CRD#: 18353
Newark, NJ
Past
January 2, 2014 - May 1, 2020
FUNDS DISTRIBUTOR, LLC
BD
CRD#: 7174
BOSTON, MA
Past
March 13, 2006 - December 31, 2013
OLD MUTUAL INVESTMENT PARTNERS
BD
CRD#: 44916
BOSTON, MA
Past
September 12, 2002 - December 3, 2004
AGES FINANCIAL SERVICES, LTD.
BD
CRD#: 15427
READING, MA
Past
February 2, 2002 - August 30, 2006
ENVESTNET PORTFOLIO SOLUTIONS, INC.
RIA
CRD#: 109662
BOSTON, MA
Past
November 4, 1996 - June 7, 2000
NATIXIS DISTRIBUTION, LLC
BD
CRD#: 34754
BOSTON, MA
Past
July 19, 1995 - December 31, 1996
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
November 7, 1990 - September 9, 1993
TNE INVESTMENT SERVICES CORPORATION
BD
CRD#: 14560
Past
July 13, 1990 - October 10, 1990
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
BOSTON, MA
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(12/13/2021)
RR
Alaska(12/13/2021)
RR
Arizona(12/13/2021)
RR
Arkansas(12/13/2021)
RR
California(12/13/2021)
RR
Colorado(12/13/2021)
RR
Connecticut(12/13/2021)
RR
Delaware(12/13/2021)
RR
District of Columbia(12/13/2021)
RR
Florida(12/13/2021)
RR
Georgia(12/13/2021)
RR
Hawaii(12/13/2021)
RR
Idaho(12/13/2021)
RR
Illinois(12/13/2021)
RR
Indiana(12/13/2021)
RR
Iowa(12/13/2021)
RR
Kansas(12/13/2021)
RR
Kentucky(12/13/2021)
RR
Louisiana(12/13/2021)
RR
Maine(12/13/2021)
RR
Maryland(12/13/2021)
RR
Massachusetts(12/13/2021)
RR
Michigan(12/13/2021)
RR
Minnesota(12/13/2021)
RR
Mississippi(12/13/2021)
RR
Missouri(12/13/2021)
RR
Montana(12/13/2021)
RR
Nebraska(12/13/2021)
RR
Nevada(12/13/2021)
RR
New Hampshire(12/13/2021)
RR
New Jersey(12/13/2021)
RR
New Mexico(12/13/2021)
RR
New York(12/13/2021)
RR
North Carolina(12/13/2021)
RR
North Dakota(12/13/2021)
RR
Ohio(12/14/2021)
RR
Oklahoma(12/13/2021)
RR
Oregon(12/13/2021)
RR
Pennsylvania(12/13/2021)
RR
Rhode Island(12/13/2021)
RR
South Carolina(12/13/2021)
RR
South Dakota(12/13/2021)
RR
Texas(12/13/2021)
RR
Utah(12/13/2021)
RR
Vermont(12/13/2021)
RR
Virginia(12/13/2021)
RR
Washington(12/13/2021)
RR
West Virginia(12/13/2021)
RR
Wisconsin(12/13/2021)
RR
Wyoming(12/13/2021)
Exams
State Security Law Exam
State Security Law 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.
