Ann C. Cashman
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.
Ann Christina Cashman, who also goes by Ann C Cashman, Ann C Phillips, was a registered financial professional .
Ann is a previously registered financial professional and started their career in finance in 1991. Ann had worked at 4 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2006 - October 1, 2020
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
September 7, 2000 - August 6, 2004
ALLIANCEBERNSTEIN INVESTMENTS, INC.
October 18, 1999 - August 9, 2000
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
January 1, 1997 - June 30, 1998
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
May 1, 1993 - January 1, 1997
PRUDENTIAL RETIREMENT SERVICES, INC.
June 1, 1992 - May 1, 1993
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
September 9, 1991 - June 1, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
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.
