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SL

Steven L. Loban

PRUDENTIAL ANNUITIES DISTRIBUTORS,
Shelton, CT 06484
Some features on this profile are disabled
CRD#: 2449008
SL

Professional summary

Steven Lee Loban, who also goes by Steve Loban, is a registered financial professional currently at PRUDENTIAL ANNUITIES DISTRIBUTORS, INC located in Shelton, Connecticut.

Steven is registered as a RR (Registered Representative) and started their career in finance in 1994. Steven has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steve Loban

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Lee Loban's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 24, 2012 - Present

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

Office #1: 1 Corporate Drive, Shelton, CT 06484
BD
CRD#: 21570
Shelton, CT
Past

April 24, 2012 - November 6, 2020

AST INVESTMENT SERVICES, INC.

RIA
CRD#: 108897
SHELTON, CT
Past

October 25, 2011 - April 12, 2012

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
FAIRFIELD, CT
Past

October 21, 2011 - April 11, 2012

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
FAIRFIELD, CT
Past

November 16, 2006 - October 6, 2011

AST INVESTMENT SERVICES, INC.

RIA
CRD#: 108897
SHELTON, CT
Past

November 14, 2006 - October 6, 2011

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BD
CRD#: 21570
SHELTON, CT
Past

July 29, 2005 - October 31, 2006

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
STRATFORD, CT
Past

July 29, 2005 - October 31, 2006

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
STRATFORD, CT
Past

July 27, 2004 - July 11, 2005

IFMG SECURITIES, INC.

RIA
CRD#: 14416
HARTFORD, CT
Past

July 27, 2004 - July 11, 2005

IFMG SECURITIES, INC.

BD
CRD#: 14416
PURCHASE, NY
Past

November 18, 2002 - July 1, 2004

QUICK & REILLY, INC.

RIA
CRD#: 11217
STRATFORD, CT
Past

November 18, 2002 - July 1, 2004

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

March 21, 1997 - October 29, 2002

WRIGHT INVESTORS SERVICE INC

RIA
CRD#: 106302
MILFORD, CT
Past

June 9, 1994 - October 3, 2002

WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC.

BD
CRD#: 13645
SHELTON, CT
Past

March 7, 1994 - May 12, 1994

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305
EDISON, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(4/24/2012)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/11/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/27/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/9/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/4/1994
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 3/11/1997
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PA
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
AMERICAN SKANDIA MARKETING, INC. | PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570 / SEC#: , 8-39058

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
One Corporate Drive, Shelton, CT 06484
Mailing Address
One Corporate Drive, Shelton, CT 06484
Phone number
(800) 628-6039
Established
Delaware since 09/08/1987
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
THE PRUDENTIAL INSURANCE COMPANY OF AMERICASHAREHOLDER COMMON
CARROLL, TRACEY MARIAPRESIDENT5841463
HAGGERTY, SCOTT PETERCHIEF EXECUTIVE OFFICER2619329
HARTNETT, CHRISTINA ACHIEF OPERATING OFFICER2672099
MCGRATH, SHANE THOMASCHIEF COMPLIANCE OFFICER4458909
SMIT, ROBERT PHILIPFINOP, CFO2332366
THOMSEN, JORDAN KCHIEF LEGAL OFFICER AND SECRETARY2821664

Disclosures

Regulatory Event2
Civil Event1

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.

Company Information

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570Shelton, CT 06484

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