Joseph L. Thomas
Professional summary
Joseph Louis Thomas, who also goes by Joseph L Thomas, is a registered financial advisor currently at PGIM INVESTMENTS LLC located in San Marcos, California and PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC located in Valley Village, California.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Joseph has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Louis Thomas's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 20, 2011 - Present
PGIM INVESTMENTS LLC
September 16, 2011 - Present
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
June 14, 2010 - September 2, 2011
INVESCO ADVISERS, INC.
June 1, 2010 - September 2, 2011
INVESCO DISTRIBUTORS, INC.
April 22, 2004 - June 4, 2010
VAN KAMPEN ADVISORS INC
October 21, 1998 - June 1, 2010
INVESCO CAPITAL MARKETS, INC.
Primary Firm SEC Registration
PGIM INVESTMENTS LLC
CRD#: 105670 / SEC#: 801-31104
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/3/2016)
(9/16/2011)
(9/20/2011)
(1/27/2021)
Exams
FINRA
Current Firm
PGIM INVESTMENTS LLC
CRD#: 105670 / SEC#: 801-31104
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 196 |
| AUM (Assets Under Management) | $ 322,085,635,448 |
Red Flags
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