Dawn A. Goldbacher
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.
Dawn Ann Goldbacher, who also goes by Dawn Ann Goldbacher, Dawn Goldbacher, was a registered financial professional .
Dawn is a previously registered financial professional and started their career in finance in 1999. Dawn had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 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
March 21, 2022 - May 20, 2024
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
July 26, 2021 - March 18, 2022
PRUCO SECURITIES, LLC.
July 26, 2021 - March 18, 2022
PRUCO SECURITIES, LLC.
January 6, 2009 - May 14, 2020
PRUCO SECURITIES, LLC.
January 6, 2009 - May 14, 2020
PRUCO SECURITIES, LLC.
August 22, 2007 - March 31, 2008
BANCNORTH INVESTMENT GROUP, INC.
August 10, 2007 - March 31, 2008
CETERA INVESTMENT SERVICES LLC
September 20, 2004 - September 12, 2006
ESSEX NATIONAL SECURITIES, LLC
September 20, 2004 - September 12, 2006
ESSEX NATIONAL SECURITIES, LLC
July 21, 2003 - July 15, 2004
IFMG SECURITIES, INC.
May 7, 2003 - July 15, 2004
IFMG SECURITIES, INC.
May 1, 2002 - February 20, 2003
WAMU INVESTMENTS, INC.
September 5, 2000 - May 1, 2002
DIME SECURITIES, INC.
November 10, 1999 - May 31, 2000
RIGGS SECURITIES INC.
March 10, 1999 - October 26, 1999
DIME SECURITIES, INC.
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
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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