Anju Nanda
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.
Anju Nanda, who also goes by Anju Seekri, Ann Seekri, was a registered financial professional .
Anju is a previously registered financial professional and started their career in finance in 1993. Anju had worked at 7 firms and has passed the Series 63, 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
June 27, 2018 - April 2, 2026
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
January 1, 2014 - April 10, 2020
PRUCO SECURITIES, LLC.
April 27, 2007 - October 30, 2013
EQUITABLE DISTRIBUTORS, LLC
January 27, 2005 - May 1, 2007
THE LEADERS GROUP, INC.
January 2, 2004 - December 15, 2004
THE LEADERS GROUP, INC.
June 3, 2003 - October 21, 2003
VP DISTRIBUTORS LLC
November 14, 1995 - June 23, 2003
WS GRIFFITH SECURITIES, INC.
August 10, 1993 - June 28, 1995
NEW ENGLAND SECURITIES
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
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
