Scott D. Greenspan
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.
Scott Douglas Greenspan, who also goes by Scott D Greenspan, Scott Douglas Greenspan, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1992. Scott had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2017 - October 19, 2018
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
December 7, 2012 - March 21, 2016
UBS FINANCIAL SERVICES INC.
December 7, 2012 - March 21, 2016
UBS FINANCIAL SERVICES INC.
November 12, 2012 - November 30, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 12, 2012 - November 30, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 20, 2011 - October 25, 2012
MORGAN STANLEY
November 16, 2010 - October 25, 2012
MORGAN STANLEY
October 18, 2007 - November 13, 2007
OFFMAN SECURITIES, LLC
April 4, 2007 - October 25, 2007
HUDSON SECURITIES,INC.
January 17, 1996 - October 2, 2003
UBS CAPITAL MARKETS L.P.
November 21, 1994 - December 18, 1995
PRINCETON SECURITIES CORPORATION
September 3, 1993 - September 9, 1994
AMERIPRISE ADVISOR SERVICES, INC.
October 11, 1992 - August 20, 1993
TD AMERITRADE, INC.
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 55
Date: 4/9/2007
Limited Representative-Equity Trader ExamCurrent 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.
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