Kelli K. Mulligan
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.
Kelli Kay Mulligan, who also goes by Kelli Kay Kracht, Kelli Kay Ross, Kelli Kay Ross, was a registered financial professional .
Kelli is a previously registered financial professional and started their career in finance in 1991. Kelli had worked at 7 firms and has passed the Series 63, Series 6TO, 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
February 23, 2018 - April 17, 2020
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
August 11, 2014 - August 3, 2017
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
October 31, 2007 - September 24, 2012
MMC SECURITIES LLC
April 25, 2001 - October 31, 2007
THE LEADERS GROUP, INC.
January 5, 2001 - April 11, 2001
USALLIANZ SECURITIES, INC.
May 28, 1999 - November 18, 1999
BROOKLIGHT PLACE SECURITIES, INC.
July 18, 1997 - May 1, 1998
AMERITAS INVESTMENT COMPANY, LLC
December 9, 1991 - January 1, 1993
METLIFE INVESTORS SALES COMPANY
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
Series 6TO
Date: 3/24/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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
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