TF
Thomas F. Fasulo
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
Newark, NJ 07102
Some features on this profile are disabled
CRD#: 2948726
TF
Professional summary
Thomas Francis Fasulo JR, who also goes by Tom Fasulo Jr, Tommy Fasulo Jr, is a registered financial professional currently at PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC located in Newark, New Jersey.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1997. Thomas has worked at 4 firms and has passed the Series 63, Series 6TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Tom Fasulo Jr | Tommy Fasulo Jr
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 Thomas Francis Fasulo JR'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
June 4, 2015 - Present
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
Office #1: 655 Broad Street, Newark, NJ 07102BD
CRD#: 18353
Newark, NJ
Past
January 31, 2013 - October 21, 2014
INTERNATIONAL CORRESPONDENT TRADING, INC.
BD
CRD#: 37401
HACKENSACK, NJ
Past
October 27, 1998 - May 30, 2012
KNIGHT CAPITAL AMERICAS, L.P.
BD
CRD#: 38599
JERSEY CITY, NJ
Past
September 17, 1997 - October 14, 1998
ICAP SECURITIES USA LLC
BD
CRD#: 19739
NEW YORK, NY
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(3/20/2018)
RR
Alaska(3/20/2018)
RR
Arizona(3/20/2018)
RR
Arkansas(3/20/2018)
RR
California(3/20/2018)
RR
Colorado(3/20/2018)
RR
Connecticut(3/20/2018)
RR
Delaware(3/20/2018)
RR
District of Columbia(3/20/2018)
RR
Florida(3/20/2018)
RR
Georgia(3/20/2018)
RR
Hawaii(3/20/2018)
RR
Idaho(3/20/2018)
RR
Illinois(3/20/2018)
RR
Indiana(3/20/2018)
RR
Iowa(3/20/2018)
RR
Kansas(3/20/2018)
RR
Kentucky(3/20/2018)
RR
Louisiana(3/20/2018)
RR
Maine(3/20/2018)
RR
Maryland(3/20/2018)
RR
Massachusetts(3/20/2018)
RR
Michigan(6/4/2015)
RR
Minnesota(3/20/2018)
RR
Mississippi(3/20/2018)
RR
Missouri(3/20/2018)
RR
Montana(3/20/2018)
RR
Nebraska(3/20/2018)
RR
Nevada(3/20/2018)
RR
New Hampshire(3/20/2018)
RR
New Jersey(6/4/2015)
RR
New Mexico(3/20/2018)
RR
New York(10/30/2017)
RR
North Carolina(3/21/2018)
RR
North Dakota(3/20/2018)
RR
Ohio(6/4/2015)
RR
Oklahoma(3/20/2018)
RR
Oregon(3/20/2018)
RR
Pennsylvania(3/20/2018)
RR
Puerto Rico(3/20/2018)
RR
Rhode Island(3/20/2018)
RR
South Carolina(3/20/2018)
RR
South Dakota(3/20/2018)
RR
Tennessee(3/20/2018)
RR
Texas(3/20/2018)
RR
Utah(3/20/2018)
RR
Vermont(3/20/2018)
RR
Virgin Islands(3/20/2018)
RR
Virginia(3/20/2018)
RR
Washington(3/20/2018)
RR
West Virginia(3/20/2018)
RR
Wisconsin(3/20/2018)
RR
Wyoming(3/20/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/8/1999
Limited Representative-Equity Trader ExamGeneral 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)
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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)
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 | 2693999 |
| PRUZINSKY, KRISTIN ANNE | SENIOR VICE PRESIDENT AND CHIEF PRODUCT OFFICER | 5347722 |
| 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.
