Joseph J. D'ambrosio
Professional summary
Joseph James D'ambrosio, who also goes by Joseph Dambrosio, Joseph James Dambrosio, is a registered financial professional currently at PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC located in Newark, New Jersey.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1996. Joseph has worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph James D'ambrosio's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 4, 2022 - Present
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
Office #1: 655 Broad Street, Newark, NJ 07102September 6, 2016 - October 12, 2020
RAYMOND JAMES & ASSOCIATES, INC.
June 1, 2015 - September 6, 2016
DEUTSCHE BANK SECURITIES INC.
March 3, 2011 - August 27, 2014
RUANE, CUNNIFF & GOLDFARB LLC
November 21, 2005 - February 7, 2007
TOBIAS BROS. INC.
June 18, 2001 - May 17, 2005
MONARCH FINANCIAL CORPORATION OF AMERICA
February 2, 1998 - June 6, 2001
APEX CLEARING CORPORATION
October 14, 1997 - February 2, 1998
NASH, WEISS & CO.
July 8, 1996 - October 14, 1997
NASH, WEISS & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/4/2022)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/31/2011
Limited Representative-Equity Trader ExamFINRA
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
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