JP
Jeffrey R. Petersen
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
Newark, NJ 07102
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CRD#: 3097109
JP
Professional summary
Jeffrey Richard Petersen, CFP®, CIMA® is a registered financial professional currently at PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC located in Newark, New Jersey.
Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1998. Jeffrey has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Richard Petersen'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®
Experience
Current
April 2, 2020 - Present
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
Office #1: 655 Broad Street, Newark, NJ 07102BD
CRD#: 18353
Newark, NJ
Past
June 29, 2016 - March 18, 2020
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
BD
CRD#: 13594
SAN MATEO, CA
Past
November 29, 2011 - March 18, 2020
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
BD
CRD#: 332
SAN MATEO, CA
Past
June 1, 2009 - November 21, 2011
MORGAN STANLEY
BD
CRD#: 149777
ATLANTA, GA
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
ATLANTA, GA
Past
November 29, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
ATLANTA, GA
Past
July 12, 2005 - October 6, 2006
MFS FUND DISTRIBUTORS, INC.
BD
CRD#: 31052
BOSTON, MA
Past
February 18, 2004 - July 6, 2005
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
CHICAGO, IL
Past
April 12, 2000 - January 16, 2004
ALLIANCEBERNSTEIN INVESTMENTS, INC.
BD
CRD#: 14549
NASHVILLE, TN
Past
November 25, 1998 - March 27, 2000
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
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(4/2/2020)
RR
Alaska(6/23/2022)
RR
Arizona(6/23/2022)
RR
Arkansas(6/23/2022)
RR
California(6/23/2022)
RR
Colorado(6/23/2022)
RR
Connecticut(6/23/2022)
RR
Delaware(6/23/2022)
RR
District of Columbia(6/23/2022)
RR
Florida(4/2/2020)
RR
Georgia(4/2/2020)
RR
Hawaii(6/23/2022)
RR
Idaho(6/23/2022)
RR
Illinois(6/23/2022)
RR
Indiana(6/23/2022)
RR
Iowa(6/23/2022)
RR
Kansas(6/23/2022)
RR
Kentucky(6/23/2022)
RR
Louisiana(4/2/2020)
RR
Maine(6/23/2022)
RR
Maryland(6/23/2022)
RR
Massachusetts(6/23/2022)
RR
Michigan(6/23/2022)
RR
Minnesota(6/23/2022)
RR
Mississippi(4/2/2020)
RR
Missouri(6/23/2022)
RR
Montana(6/23/2022)
RR
Nebraska(6/23/2022)
RR
Nevada(6/23/2022)
RR
New Hampshire(6/23/2022)
RR
New Jersey(6/23/2022)
RR
New Mexico(6/23/2022)
RR
New York(6/23/2022)
RR
North Carolina(4/2/2020)
RR
North Dakota(6/23/2022)
RR
Ohio(6/23/2022)
RR
Oklahoma(6/23/2022)
RR
Oregon(6/23/2022)
RR
Pennsylvania(6/23/2022)
RR
Puerto Rico(6/23/2022)
RR
Rhode Island(6/23/2022)
RR
South Carolina(4/2/2020)
RR
South Dakota(6/23/2022)
RR
Tennessee(4/2/2020)
RR
Texas(6/23/2022)
RR
Utah(6/23/2022)
RR
Vermont(6/23/2022)
RR
Virginia(4/2/2020)
RR
Washington(6/23/2022)
RR
West Virginia(6/23/2022)
RR
Wisconsin(6/23/2022)
RR
Wyoming(6/23/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General 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)
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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 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.
