Joel R. Sauber

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

Newark, NJ 07102

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CRD#: 3035443

Professional summary

Joel Roger Sauber is a registered financial professional currently at PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC located in Newark, New Jersey.

Joel is registered as a RR (Registered Representative) and started their career in finance in 1998. Joel has worked at 4 firms and has passed the SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Joel Roger Sauber'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®

None

Experience

Current

September 20, 2010 - Present

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

Office #1: 655 Broad Street, Newark, NJ 07102

CRD#: 18353

Newark, NJ

Past

December 1, 2005 - August 18, 2010

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

STAMFORD, CT

Past

October 22, 2001 - December 1, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

June 29, 1998 - December 31, 1999

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, 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

New Jersey
(9/20/2010)

Exams

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/14/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 7/22/2002

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/25/1998

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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Joel R. Sauber

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joel Roger Sauber's CRS (Customer Relationship Summary).

Certified licenses

Experience

FRANKLIN DISTRIBUTORS, LLC

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 7

Date: 5/14/1998

Series 53

Date: 7/22/2002

Series 24

Date: 8/25/1998

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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