Pamela Clancy Rotondo
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.
Pamela Clancy Rotondo, who also goes by Pamela Adele Clancy, Pamela Adele Clancy Rotondo, Pamela C. Clancy Rotondo, Pamela C. Rotondo, was a registered financial professional .
Pamela is a previously registered financial professional and started their career in finance in 1997. Pamela had worked at 8 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 2020 - October 15, 2025
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
August 11, 2017 - July 1, 2020
MAN INVESTMENTS INC.
May 12, 2016 - October 5, 2016
FIDELITY DISTRIBUTORS COMPANY LLC
January 9, 2009 - May 12, 2016
PYRAMIS DISTRIBUTORS CORPORATION LLC
March 4, 2008 - January 30, 2009
FIDELITY DISTRIBUTORS COMPANY LLC
January 1, 2008 - January 29, 2008
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
July 15, 2004 - January 1, 2008
RUSSELL INSTITUTIONAL SERVICES INC., PART OF RUSSELL INVESTMENTS
May 4, 2001 - August 26, 2004
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC
January 2, 2001 - March 16, 2001
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
April 1, 1997 - December 31, 2000
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
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 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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