MR
Michael G. Randall
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
Newark, NJ 07102
Some features on this profile are disabled
CRD#: 2648016
MR
Professional summary
Michael Gossett Randall, who also goes by Mike Randall, is a registered financial professional currently at PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC located in Newark, New Jersey.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1995. Michael has worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Mike Randall
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.
CRS (Client Relationship Summary) - BD
Click below to view Michael Gossett Randall's 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®
NoneExperience
Current
November 1, 2024 - Present
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
Office #1: 655 Broad Street, Newark, NJ 07102BD
CRD#: 18353
Newark, NJ
Past
February 9, 2015 - August 22, 2019
WELLINGTON FUNDS DISTRIBUTORS INC.
BD
CRD#: 152768
CHICAGO, IL
Past
April 12, 2005 - December 31, 2010
FORESIDE FUND SERVICES, LLC
BD
CRD#: 46106
BOSTON, MA
Past
August 3, 2004 - April 8, 2005
QUASAR DISTRIBUTORS, LLC
BD
CRD#: 103848
PORTLAND, ME
Past
August 17, 1995 - August 15, 2000
NORTHERN TRUST SECURITIES, INC.
BD
CRD#: 7927
CHICAGO, IL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(12/24/2024)
RR
Alaska(12/24/2024)
RR
Arizona(12/24/2024)
RR
Arkansas(12/24/2024)
RR
California(12/24/2024)
RR
Colorado(12/24/2024)
RR
Connecticut(12/24/2024)
RR
Delaware(12/24/2024)
RR
District of Columbia(12/24/2024)
RR
Florida(12/24/2024)
RR
Georgia(12/24/2024)
RR
Hawaii(12/24/2024)
RR
Idaho(12/24/2024)
RR
Illinois(12/24/2024)
RR
Indiana(12/24/2024)
RR
Iowa(12/24/2024)
RR
Kansas(12/24/2024)
RR
Kentucky(12/24/2024)
RR
Louisiana(12/24/2024)
RR
Maine(12/24/2024)
RR
Maryland(12/24/2024)
RR
Massachusetts(12/24/2024)
RR
Michigan(12/24/2024)
RR
Minnesota(12/24/2024)
RR
Mississippi(12/24/2024)
RR
Missouri(12/24/2024)
RR
Montana(12/24/2024)
RR
Nebraska(12/24/2024)
RR
Nevada(12/24/2024)
RR
New Hampshire(12/24/2024)
RR
New Jersey(12/24/2024)
RR
New Mexico(12/24/2024)
RR
New York(12/24/2024)
RR
North Carolina(12/24/2024)
RR
North Dakota(12/24/2024)
RR
Ohio(12/24/2024)
RR
Oklahoma(12/24/2024)
RR
Oregon(12/24/2024)
RR
Pennsylvania(12/24/2024)
RR
Rhode Island(12/24/2024)
RR
South Carolina(12/24/2024)
RR
South Dakota(12/24/2024)
RR
Tennessee(12/24/2024)
RR
Texas(12/24/2024)
RR
Utah(12/23/2024)
RR
Vermont(12/24/2024)
RR
Virginia(12/24/2024)
RR
Washington(12/24/2024)
RR
West Virginia(12/24/2024)
RR
Wisconsin(12/24/2024)
RR
Wyoming(12/24/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/1/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PI
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
PAMCO SECURITIES CORPORATION | PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC | PRUDENTIAL ASSET MANAGEMENT COMPANY SECURITIES CORPORATION
CRD#: 18353 / SEC#: , 8-36540
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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)
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
