David E. Barnes

PRUDENTIAL ANNUITIES DISTRIBUTORS,

Shelton, CT 06484

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CRD#: 2449803

Professional summary

David Edward Barnes JR, CIMA®, who also goes by David Edward Barnes, is a registered financial professional currently at PRUDENTIAL ANNUITIES DISTRIBUTORS, INC located in Shelton, Connecticut.

David is registered as a RR (Registered Representative) and started their career in finance in 1995. David has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David Edward Barnes

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 David Edward Barnes JR'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

May 6, 2011 - Present

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

Office #1: 1 Corporate Drive, Shelton, CT 06484

CRD#: 21570

Shelton, CT

Past

May 6, 2011 - November 4, 2020

AST INVESTMENT SERVICES, INC.

RIA

CRD#: 108897

SHELTON, CT

Past

November 25, 2009 - January 31, 2011

DIRECTED SERVICES LLC

RIA

CRD#: 21675

WEST CHESTER, PA

Past

June 15, 2005 - January 31, 2011

DIRECTED SERVICES LLC

CRD#: 21675

WEST CHESTER, PA

Past

September 27, 1995 - June 21, 2005

MFS FUND DISTRIBUTORS, INC.

CRD#: 31052

BOSTON, MA

State Registrations and Notice Filings

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

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

California
(3/28/2022)

District of Columbia
(5/6/2011)

Florida
(5/6/2011)

New Mexico
(1/23/2025)

North Carolina
(5/9/2011)

Pennsylvania
(5/6/2011)

Rhode Island
(5/6/2011)

South Dakota
(5/16/2022)

Vermont
(5/6/2011)

Exams

State Security Law Exam

IAR

Series 65

Date: 11/24/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/23/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/17/2016

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/26/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 9/19/2005

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

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

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

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA	SHAREHOLDER COMMON
CARROLL, TRACEY MARIA	PRESIDENT	5841463
HAGGERTY, SCOTT PETER	CHIEF EXECUTIVE OFFICER	2619329
HARTNETT, CHRISTINA A	CHIEF OPERATING OFFICER	2672099
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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Advisor Monitoring

Firm Stability Insights

David E. Barnes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Edward Barnes JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

AST INVESTMENT SERVICES, INC.

DIRECTED SERVICES LLC

DIRECTED SERVICES LLC

MFS FUND DISTRIBUTORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/24/2009

Series 63

Date: 3/23/1998

SIE

Date: 10/1/2018

Series 7

Date: 5/17/2016

Series 6

Date: 9/26/1995

Series 26

Date: 9/19/2005

FINRA

Current Firm

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

TRUST BUT VERIFY

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