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Stephanie N. Prince

AQR INVESTMENTS
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 2618015
SP

Professional summary

Stephanie Nicole Prince, who also goes by Stephanie N Benjamin, Stephanie N Prince, is a registered financial professional currently at AQR INVESTMENTS, LLC located in Greenwich, Connecticut.

Stephanie is registered as a RR (Registered Representative) and started their career in finance in 2004. Stephanie has worked at 8 firms and has passed the SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephanie N Benjamin | Stephanie N Prince

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 Stephanie Nicole Prince'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

May 23, 2022 - Present

AQR INVESTMENTS, LLC

Office #1: One Greenwich Plaza Suite 130, Greenwich, CT 06830
BD
CRD#: 289244
Greenwich, CT
Past

January 17, 2019 - May 10, 2022

VAN ECK SECURITIES CORPORATION

BD
CRD#: 2269
NEW YORK, NY
Past

August 23, 2007 - December 16, 2008

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

BD
CRD#: 25567
NEW YORK, NY
Past

September 14, 2004 - May 23, 2006

INVESCO CAPITAL MARKETS, INC.

BD
CRD#: 6939
HOUSTON, TX
Past

September 14, 2004 - May 23, 2006

MORGAN STANLEY DISTRIBUTORS INC.

BD
CRD#: 30992
NEW YORK, NY
Past

September 14, 2004 - May 23, 2006

MORGAN STANLEY DISTRIBUTION, INC.

BD
CRD#: 30344
NEW YORK, NY
Past

September 14, 2004 - May 23, 2006

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

May 26, 2004 - May 22, 2006

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 1/18/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/17/2019
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/18/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AI
AQR INVESTMENTS, LLC
AQR INVESTMENTS, LLC

CRD#: 289244 / SEC#: , 8-69990

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

Main Address
One Greenwich Plaza Suite 130, Greenwich, CT 06830
Mailing Address
One Greenwich Plaza Suite 130, Greenwich, CT 06830
Phone number
(203) 742-3600
Established
Delaware since 03/15/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 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#
AQR CAPITAL MANAGEMENT HOLDINGS (B-D), LLCPARENT COMPANY
ANDRADE, GREGOR MASINICHIEF EXECUTIVE OFFICER2265718
HOWARD, JOHN BRADLEYBOARD OF MANAGERS3132622
KABILLER, DAVID GARYBOARD OF MANAGERS1736385
MELLAS, STEPHEN JOSEPHBOARD OF MANAGERS1505043
PRINCE, STEPHANIE NICOLECHIEF COMPLIANCE OFFICER2618015
RYAN, PATRICK EDMUNDCHIEF FINANCIAL OFFICER2822527
WILLCOX, HERBERT JAMESBOARD OF MANAGERS & CHIEF LEGAL OFFICER1868426

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

AQR INVESTMENTS, LLC

CRD#: 289244Greenwich, CT 06830

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