Joseph E. Marquis
Professional summary
Joseph Edward Marquis, who also goes by Joe Marquis, is a registered financial professional currently at PRUDENTIAL ANNUITIES DISTRIBUTORS, INC located in Highlands Ranch, Colorado.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1998. Joseph has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Edward Marquis's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 16, 2022 - Present
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
February 27, 2019 - October 15, 2021
ALLIANZ LIFE FINANCIAL SERVICES, LLC
November 2, 2018 - March 7, 2019
ICON DISTRIBUTORS, INC.
April 13, 2015 - September 20, 2018
AUGUSTAR DISTRIBUTORS, INC.
April 15, 2005 - February 26, 2015
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 8, 2000 - April 1, 2005
GLOBAL ATLANTIC DISTRIBUTORS, LLC
September 29, 2000 - December 8, 2000
NATIONAL PLANNING CORPORATION
September 29, 2000 - December 8, 2000
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
December 23, 1998 - September 5, 2000
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/3/2022)
(7/18/2022)
(7/18/2022)
(11/3/2022)
(2/18/2025)
(10/14/2022)
Exams
FINRA
Current Firm
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
CRD#: 21570 / SEC#: , 8-39058
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SHAREHOLDER COMMON | |
| CARROLL, TRACEY MARIA | PRESIDENT | 5841463 |
| HAGGERTY, SCOTT PETER | CHIEF EXECUTIVE OFFICER | 2619329 |
| HARTNETT, CHRISTINA A | CHIEF OPERATING OFFICER | 2672099 |
| MCGRATH, SHANE THOMAS | CHIEF COMPLIANCE OFFICER | 4458909 |
| SMIT, ROBERT PHILIP | FINOP, CFO | 2332366 |
| THOMSEN, JORDAN K | CHIEF LEGAL OFFICER AND SECRETARY | 2821664 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
Red Flags
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