James L. Costabile

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

West Harrison, NY

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CRD#: 2909535

Professional summary

James Louis Costabile, AIF®, who also goes by James L Costabile, James Louis Costabile, is a registered financial professional currently at PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC located in West Harrison, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 1997. James has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James L Costabile | James Louis Costabile

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 James Louis Costabile'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

September 11, 2025 - Present

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

Office #2: 655 Broad Street, Newark, NJ 07102Office #3: 655 Broad St Fl 15, Newark, NJ 07102

CRD#: 18353

West Harrison, NY

Past

November 30, 2023 - September 8, 2025

ICAPITAL MARKETS LLC

CRD#: 118219

NEW YORK, NY

Past

December 19, 2022 - November 30, 2023

ICAPITAL SECURITIES, LLC

CRD#: 171061

NEW YORK, NY

Past

July 18, 2022 - November 15, 2022

MORGAN STANLEY DISTRIBUTION, INC.

CRD#: 30344

New York, NY

Past

January 15, 2022 - July 18, 2022

EATON VANCE DISTRIBUTORS, INC.

CRD#: 37731

New York, NY

Past

November 27, 2017 - November 15, 2022

MORGAN STANLEY INVESTMENT MANAGEMENT INC.

RIA

CRD#: 110353

NEW YORK, NY

Past

November 22, 2017 - January 15, 2022

MORGAN STANLEY DISTRIBUTION, INC.

CRD#: 30344

New York, NY

Past

May 18, 2009 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

August 1, 2008 - November 6, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

July 18, 2007 - November 6, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

March 31, 1998 - July 19, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

July 10, 1997 - September 4, 1997

ROYCE INVESTMENT GROUP, INC.

CRD#: 10494

WOODBURY, NY

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
(9/11/2025)

Alaska
(9/11/2025)

Arizona
(9/11/2025)

Arkansas
(9/11/2025)

California
(9/11/2025)

Colorado
(9/11/2025)

Connecticut
(9/11/2025)

Delaware
(9/11/2025)

District of Columbia
(9/11/2025)

Florida
(9/11/2025)

Georgia
(9/11/2025)

Hawaii
(9/11/2025)

Idaho
(9/11/2025)

Illinois
(9/11/2025)

Indiana
(9/11/2025)

Iowa
(9/11/2025)

Kansas
(9/11/2025)

Kentucky
(9/11/2025)

Louisiana
(9/11/2025)

Maine
(9/11/2025)

Maryland
(9/11/2025)

Massachusetts
(9/11/2025)

Michigan
(9/11/2025)

Minnesota
(9/11/2025)

Mississippi
(9/11/2025)

Missouri
(9/11/2025)

Montana
(9/11/2025)

Nebraska
(9/11/2025)

Nevada
(9/11/2025)

New Hampshire
(9/11/2025)

New Jersey
(9/11/2025)

New Mexico
(9/11/2025)

New York
(9/11/2025)

North Carolina
(9/11/2025)

North Dakota
(9/11/2025)

Ohio
(9/11/2025)

Oklahoma
(9/11/2025)

Oregon
(9/11/2025)

Pennsylvania
(9/11/2025)

Rhode Island
(9/11/2025)

South Carolina
(9/11/2025)

South Dakota
(9/11/2025)

Tennessee
(9/11/2025)

Texas
(9/11/2025)

Utah
(9/11/2025)

Vermont
(9/11/2025)

Virginia
(9/11/2025)

Washington
(9/11/2025)

West Virginia
(9/11/2025)

Wisconsin
(9/11/2025)

Wyoming
(9/11/2025)

Exams

State Security Law Exam

IAR

Series 66

Date: 7/29/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/16/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 10/13/2003

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/9/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/10/2008

General Securities Principal 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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James L. Costabile

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Louis Costabile's CRS (Customer Relationship Summary).

Certified licenses

Experience

ICAPITAL MARKETS LLC

ICAPITAL SECURITIES, LLC

MORGAN STANLEY DISTRIBUTION, INC.

EATON VANCE DISTRIBUTORS, INC.

MORGAN STANLEY INVESTMENT MANAGEMENT INC.

MORGAN STANLEY DISTRIBUTION, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

ROYCE INVESTMENT GROUP, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/29/2008

Series 63

Date: 7/16/1997

SIE

Date: 10/1/2018

Series 31

Date: 10/13/2003

Series 7

Date: 7/9/1997

Series 24

Date: 3/10/2008

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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