Charles N. Johnson

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

Newark, NJ 07102

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CRD#: 2562507

Professional summary

Charles Nelson Johnson, who also goes by Charles Johnson, is a registered financial professional currently at PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC located in Newark, New Jersey.

Charles is registered as a RR (Registered Representative) and started their career in finance in 1995. Charles has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Charles Johnson

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 Charles Nelson Johnson'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

September 20, 2018 - Present

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

Office #1: 655 Broad Street, Newark, NJ 07102

CRD#: 18353

Newark, NJ

Past

February 5, 2018 - August 30, 2018

ALLSPRING FUNDS MANAGEMENT, LLC

RIA

CRD#: 110841

SAN MATEO, CA

Past

February 5, 2018 - August 30, 2018

ALLSPRING FUNDS DISTRIBUTOR, LLC

CRD#: 133366

CHARLOTTE, NC

Past

January 7, 2011 - January 23, 2018

NATIXIS ADVISORS, LLC

RIA

CRD#: 106800

San Mateo, CA

Past

January 5, 2011 - January 23, 2018

NATIXIS DISTRIBUTION, LLC

CRD#: 34754

BOSTON, MA

Past

April 30, 2007 - September 23, 2008

PRINCIPAL FUNDS DISTRIBUTOR, INC.

CRD#: 43261

DES MOINES, IA

Past

September 12, 2005 - November 23, 2010

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

SAN RAFAEL, CA

Past

August 16, 2005 - November 23, 2010

PRINCIPAL SECURITIES, INC.

CRD#: 1137

SAN RAFAEL, CA

Past

October 5, 2001 - July 18, 2005

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

February 2, 2001 - September 4, 2001

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

January 7, 1995 - January 22, 2001

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

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

Alabama
(11/26/2018)

Alaska
(9/20/2018)

Arizona
(9/20/2018)

Arkansas
(11/26/2018)

California
(9/20/2018)

Colorado
(11/26/2018)

Connecticut
(11/26/2018)

Delaware
(11/26/2018)

District of Columbia
(11/26/2018)

Florida
(11/26/2018)

Georgia
(11/26/2018)

Hawaii
(9/20/2018)

Idaho
(9/20/2018)

Illinois
(11/26/2018)

Indiana
(11/26/2018)

Iowa
(11/26/2018)

Kansas
(11/26/2018)

Kentucky
(11/26/2018)

Louisiana
(11/26/2018)

Maine
(11/26/2018)

Maryland
(11/26/2018)

Massachusetts
(11/26/2018)

Michigan
(11/26/2018)

Minnesota
(11/26/2018)

Mississippi
(11/26/2018)

Missouri
(11/26/2018)

Montana
(9/20/2018)

Nebraska
(11/26/2018)

Nevada
(9/20/2018)

New Hampshire
(11/26/2018)

New Jersey
(11/26/2018)

New Mexico
(9/20/2018)

New York
(11/26/2018)

North Carolina
(11/26/2018)

North Dakota
(11/26/2018)

Ohio
(11/27/2018)

Oklahoma
(11/26/2018)

Oregon
(9/20/2018)

Pennsylvania
(11/26/2018)

Puerto Rico
(11/26/2018)

Rhode Island
(11/26/2018)

South Carolina
(11/26/2018)

South Dakota
(11/26/2018)

Tennessee
(11/26/2018)

Texas
(11/26/2018)

Utah
(9/20/2018)

Vermont
(11/26/2018)

Virginia
(11/26/2018)

Washington
(9/20/2018)

West Virginia
(11/26/2018)

Wisconsin
(11/26/2018)

Wyoming
(9/20/2018)

Exams

State Security Law Exam

IAR

Series 66

Date: 9/9/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/29/1994

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: 4/18/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/14/1994

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

PAMCO SECURITIES CORPORATION | PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC | PRUDENTIAL ASSET MANAGEMENT COMPANY SECURITIES CORPORATION

CRD#: 18353 / SEC#: , 8-36540

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

655 Broad Street 19th Floor, Newark, NJ 07102

Mailing Address

655 Broad Street 19th Floor, Newark, NJ 07102

Phone number

(973) 802-6000

Established

Delaware since 10/09/1996

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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

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.

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Charles N. Johnson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Nelson Johnson's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLSPRING FUNDS MANAGEMENT, LLC

ALLSPRING FUNDS DISTRIBUTOR, LLC

NATIXIS ADVISORS, LLC

NATIXIS DISTRIBUTION, LLC

PRINCIPAL FUNDS DISTRIBUTOR, INC.

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

DWS DISTRIBUTORS, INC.

SIGNATOR INVESTORS, INC.

FIDELITY DISTRIBUTORS COMPANY LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/9/2005

Series 63

Date: 12/29/1994

SIE

Date: 10/1/2018

Series 7

Date: 4/18/1998

Series 6

Date: 12/14/1994

FINRA

Current Firm

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

TRUST BUT VERIFY

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