Brian T. Keating
Professional summary
Brian T Keating, who also goes by Brian T Keating, Brian Timothy Keating, is a registered financial professional currently at PRUDENTIAL ANNUITIES DISTRIBUTORS, INC located in Fairfield, Connecticut.
Brian is registered as a RR (Registered Representative) and started their career in finance in 1994. Brian has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brian T Keating's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 13, 2003 - Present
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
August 30, 2018 - February 20, 2020
PRUCO SECURITIES, LLC.
August 29, 2018 - April 10, 2020
PRUCO SECURITIES, LLC.
March 20, 2006 - November 6, 2020
AST INVESTMENT SERVICES, INC.
January 9, 2004 - March 25, 2004
AMERICAN SKANDIA ADVISORY SERVICES, INC.
February 10, 2003 - December 31, 2003
PRUCO SECURITIES, LLC.
December 13, 2002 - June 13, 2003
PRUCO SECURITIES, LLC.
April 2, 2002 - January 15, 2003
PGIM INVESTMENTS LLC
May 18, 2000 - December 13, 2002
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
August 24, 1998 - March 30, 2000
NATIONAL PLANNING CORPORATION
January 1, 1997 - July 24, 1998
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
August 17, 1995 - January 1, 1997
PRUCO SECURITIES, LLC.
January 28, 1994 - August 23, 1995
PRUDENTIAL MUTUAL FUND DISTRIBUTORS, 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
(3/31/2022)
(6/13/2003)
(3/21/2022)
(6/13/2003)
(1/23/2025)
(8/2/2022)
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 | CHIEF OPERATING OFFICER | 5841463 |
| CARROLL, TRACEY MARIA | PRESIDENT | 5841463 |
| HAGGERTY, SCOTT PETER | CHIEF EXECUTIVE OFFICER | 2619329 |
| 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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