John A. Worek
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Andrew Worek, who also goes by John A Worek, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1999. John had worked at 2 firms and has passed the Series 66, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2013 - September 17, 2020
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
November 7, 2011 - September 17, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 5, 2011 - September 17, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 30, 2007 - July 15, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 30, 2007 - July 15, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 11, 2005 - March 29, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 13, 1999 - March 29, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 8/19/2022
General Securities Representative ExaminationCurrent Firm
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
CRD#: 18353 / SEC#: , 8-36540
Contact information
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.
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