Jeanna M. Cavanaugh
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.
Jeanna Marie Cavanaugh, who also goes by Jeanna Marie Cavannaugh, Jeanna M Venneri, Jeanna Marie Venneri, Jeanna Marie VIdalis, was a registered financial professional .
Jeanna is a previously registered financial professional and started their career in finance in 1996. Jeanna had worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 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
October 3, 2013 - June 3, 2020
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
March 20, 2006 - September 17, 2013
AST INVESTMENT SERVICES, INC.
December 10, 2005 - September 17, 2013
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
October 15, 2003 - July 7, 2005
JOHN HANCOCK DISTRIBUTORS LLC
January 1, 2002 - July 7, 2005
JOHN HANCOCK DISTRIBUTORS LLC
October 5, 1999 - January 1, 2002
MANULIFE WOOD LOGAN, INC.
February 23, 1999 - August 27, 1999
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
February 25, 1997 - December 10, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 3, 1996 - January 23, 1997
FAM DISTRIBUTORS, INC.
May 21, 1996 - December 10, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 7TO
Date: 1/1/2024
General Securities 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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