KD
Kevin M. David
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
Newtown, PA
Some features on this profile are disabled
CRD#: 2924822
KD
Professional summary
Kevin M David, who also goes by Kevin Michael David, is a registered financial professional currently at PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC located in Newtown, Pennsylvania.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 1997. Kevin has worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kevin Michael David
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 Kevin M David'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 15, 2017 - Present
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
Newtown, PA
Past
October 15, 2014 - October 4, 2017
CANACCORD GENUITY LLC
BD
CRD#: 1020
NEW YORK, NY
Past
June 18, 2003 - October 6, 2014
SIDOTI & COMPANY, LLC
BD
CRD#: 102860
NEW YORK, NY
Past
March 18, 1999 - June 27, 2002
DEUTSCHE IXE, LLC
BD
CRD#: 7172
NEW YORK, NY
Past
September 3, 1997 - February 26, 1999
DELAWARE DISTRIBUTORS, L.P.
BD
CRD#: 14232
PHILADELPHIA, PA
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(2/24/2020)
RR
Alaska(2/24/2020)
RR
Arizona(2/24/2020)
RR
Arkansas(2/24/2020)
RR
California(11/15/2017)
RR
Colorado(2/24/2020)
RR
Connecticut(2/24/2020)
RR
Delaware(2/24/2020)
RR
District of Columbia(2/24/2020)
RR
Florida(2/24/2020)
RR
Georgia(2/24/2020)
RR
Hawaii(2/24/2020)
RR
Idaho(12/4/2017)
RR
Illinois(2/24/2020)
RR
Indiana(2/24/2020)
RR
Iowa(11/15/2017)
RR
Kansas(2/24/2020)
RR
Kentucky(2/24/2020)
RR
Louisiana(2/24/2020)
RR
Maine(2/24/2020)
RR
Maryland(2/24/2020)
RR
Massachusetts(2/24/2020)
RR
Michigan(2/24/2020)
RR
Minnesota(2/24/2020)
RR
Mississippi(2/24/2020)
RR
Missouri(2/24/2020)
RR
Montana(2/24/2020)
RR
Nebraska(2/24/2020)
RR
Nevada(11/15/2017)
RR
New Hampshire(2/24/2020)
RR
New Jersey(11/15/2017)
RR
New Mexico(2/24/2020)
RR
New York(2/24/2020)
RR
North Carolina(2/24/2020)
RR
North Dakota(2/24/2020)
RR
Ohio(2/24/2020)
RR
Oklahoma(2/24/2020)
RR
Oregon(11/15/2017)
RR
Pennsylvania(2/24/2020)
RR
Rhode Island(2/24/2020)
RR
South Carolina(2/24/2020)
RR
South Dakota(2/24/2020)
RR
Tennessee(2/24/2020)
RR
Texas(2/24/2020)
RR
Utah(2/24/2020)
RR
Vermont(2/24/2020)
RR
Virginia(2/24/2020)
RR
Washington(12/16/2019)
RR
West Virginia(2/24/2020)
RR
Wisconsin(2/24/2020)
RR
Wyoming(2/24/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 8/17/1999
Limited Representative-Equity Trader ExamGeneral 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.
