Roger A. Day
Professional summary
Roger Anthony Day, who also goes by Roger A Day, Tony Day, is a registered financial professional currently at PRUDENTIAL ANNUITIES DISTRIBUTORS, INC located in Shelton, Connecticut.
Roger is registered as a RR (Registered Representative) and started their career in finance in 1992. Roger has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Roger Anthony Day's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 1, 2020 - Present
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
Office #1: 1 Corporate Drive, Shelton, CT 06484October 14, 2014 - April 1, 2020
PRUCO SECURITIES, LLC.
February 4, 2011 - June 4, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
May 5, 2008 - May 28, 2009
QUESTAR CAPITAL CORPORATION
January 1, 2007 - April 18, 2008
RIVERSOURCE DISTRIBUTORS, INC.
May 12, 2004 - July 3, 2006
IDS LIFE INSURANCE COMPANY
May 12, 2004 - January 1, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
January 28, 2000 - July 16, 2002
CHARLES SCHWAB & CO., INC.
August 26, 1997 - October 23, 1998
PRUDENTIAL EQUITY GROUP, LLC
April 13, 1993 - August 6, 1997
AMERIPRISE ADVISOR SERVICES, INC.
February 11, 1992 - October 28, 1992
IDS LIFE INSURANCE COMPANY
February 11, 1992 - October 28, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/1/2020)
Exams
FINRA
Current Firm
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
CRD#: 21570 / SEC#: , 8-39058
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SHAREHOLDER COMMON | |
| CARROLL, TRACEY MARIA | PRESIDENT | 5841463 |
| HAGGERTY, SCOTT PETER | CHIEF EXECUTIVE OFFICER | 2619329 |
| HARTNETT, CHRISTINA A | CHIEF OPERATING OFFICER | 2672099 |
| MCGRATH, SHANE THOMAS | CHIEF COMPLIANCE OFFICER | 4458909 |
| SMIT, ROBERT PHILIP | FINOP, CFO | 2332366 |
| THOMSEN, JORDAN K | CHIEF LEGAL OFFICER AND SECRETARY | 2821664 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
Red Flags
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Company Information
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
CRD#: 21570Shelton, CT 06484TRUST BUT VERIFY
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