AW
Andrew J. Wilmot
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
Wyckoff, NJ
Some features on this profile are disabled
CRD#: 2065619
AW
Professional summary
Andrew John Wilmot, who also goes by Andrew Wilmot, is a registered financial professional currently at PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC located in Wyckoff, New Jersey.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 1990. Andrew has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Andrew Wilmot
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 Andrew John Wilmot'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
February 28, 2023 - Present
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
Office #2: 655 Broad Street, Newark, NJ 07102BD
CRD#: 18353
Wyckoff, NJ
Past
October 9, 2008 - November 1, 2022
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
BD
CRD#: 25567
NEW YORK, NY
Past
July 26, 2002 - September 10, 2008
NEUBERGER BERMAN BD LLC
RIA
CRD#: 2908
NEW YORK, NY
Past
October 2, 2000 - September 10, 2008
NEUBERGER BERMAN BD LLC
BD
CRD#: 2908
NEW YORK, NY
Past
October 2, 2000 - September 10, 2008
NEUBERGER BERMAN MANAGEMENT LLC
BD
CRD#: 5493
NEW YORK, NY
Past
August 5, 1993 - October 19, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
April 22, 1991 - August 26, 1991
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
Past
July 30, 1990 - April 26, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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(2/28/2023)
RR
Alaska(2/28/2023)
RR
Arizona(2/28/2023)
RR
Arkansas(2/28/2023)
RR
California(2/28/2023)
RR
Colorado(2/28/2023)
RR
Connecticut(2/28/2023)
RR
Delaware(2/28/2023)
RR
District of Columbia(2/28/2023)
RR
Florida(2/28/2023)
RR
Georgia(2/28/2023)
RR
Hawaii(2/28/2023)
RR
Idaho(2/28/2023)
RR
Illinois(2/28/2023)
RR
Indiana(2/28/2023)
RR
Iowa(2/28/2023)
RR
Kansas(2/28/2023)
RR
Kentucky(2/28/2023)
RR
Louisiana(2/28/2023)
RR
Maine(2/28/2023)
RR
Maryland(2/28/2023)
RR
Massachusetts(2/28/2023)
RR
Michigan(2/28/2023)
RR
Minnesota(2/28/2023)
RR
Mississippi(2/28/2023)
RR
Missouri(2/28/2023)
RR
Montana(2/28/2023)
RR
Nebraska(2/28/2023)
RR
Nevada(2/28/2023)
RR
New Hampshire(2/28/2023)
RR
New Jersey(2/28/2023)
RR
New Mexico(2/28/2023)
RR
New York(2/28/2023)
RR
North Carolina(2/28/2023)
RR
North Dakota(2/28/2023)
RR
Ohio(2/28/2023)
RR
Oklahoma(2/28/2023)
RR
Oregon(2/28/2023)
RR
Pennsylvania(2/28/2023)
RR
Rhode Island(2/28/2023)
RR
South Carolina(2/28/2023)
RR
South Dakota(2/28/2023)
RR
Tennessee(2/28/2023)
RR
Texas(2/28/2023)
RR
Utah(2/28/2023)
RR
Vermont(2/28/2023)
RR
Virginia(2/28/2023)
RR
Washington(2/28/2023)
RR
West Virginia(2/28/2023)
RR
Wisconsin(2/28/2023)
RR
Wyoming(2/28/2023)
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
