George K. Gaspar
Professional summary
George Kiluanje Gaspar, who also goes by George Gaspar, is a registered financial professional currently at PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC located in Newark, New Jersey.
George is registered as a RR (Registered Representative) and started their career in finance in 1999. George has worked at 11 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view George Kiluanje Gaspar's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 19, 2022 - Present
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
Office #1: 213 Washington Street 14th Floor - Gi/nj, Newark, NJ 07102September 5, 2018 - February 28, 2022
NORTHWEST FINANCIAL ADVISORS LLC
August 13, 2018 - February 25, 2022
LPL FINANCIAL LLC
April 16, 2018 - July 19, 2018
CAMBRIDGE INVESTMENT RESEARCH, INC.
April 26, 2004 - April 26, 2017
SCOTTRADE, INC.
May 1, 2003 - March 26, 2004
M&T SECURITIES, INC.
November 7, 2002 - May 1, 2003
ALLFIRST BROKERAGE CORPORATION
August 13, 2001 - July 12, 2002
THE ADVISORS GROUP, INC.
November 11, 1999 - July 6, 2001
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 23, 1999 - October 15, 1999
IDS LIFE INSURANCE COMPANY
July 23, 1999 - October 15, 1999
AMERIPRISE FINANCIAL SERVICES, 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
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Exams
FINRA
Current 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
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