SD
Stephen J. Dane
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
Newark, NJ 07102
Some features on this profile are disabled
CRD#: 4017679
SD
Professional summary
Stephen John Dane, CIMA® is a registered financial professional currently at PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC located in Newark, New Jersey.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2000. Stephen has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 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 Stephen John Dane'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
May 24, 2016 - Present
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
Office #1: 655 Broad Street, Newark, NJ 07102BD
CRD#: 18353
Newark, NJ
Past
June 17, 2008 - May 5, 2016
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
BD
CRD#: 25567
NEW YORK, NY
Past
June 21, 2004 - June 11, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PLAINSBORO, NJ
Past
June 21, 2004 - June 11, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
May 1, 2001 - April 2, 2004
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
May 1, 2001 - April 2, 2004
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
February 23, 2000 - February 12, 2001
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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(5/24/2016)
RR
Alaska(5/24/2016)
RR
Arizona(5/24/2016)
RR
Arkansas(5/24/2016)
RR
California(5/24/2016)
RR
Colorado(5/24/2016)
RR
Connecticut(5/24/2016)
RR
Delaware(5/24/2016)
RR
District of Columbia(5/24/2016)
RR
Florida(5/24/2016)
RR
Georgia(5/24/2016)
RR
Hawaii(5/24/2016)
RR
Idaho(5/24/2016)
RR
Illinois(5/24/2016)
RR
Indiana(5/24/2016)
RR
Iowa(5/24/2016)
RR
Kansas(5/24/2016)
RR
Kentucky(5/24/2016)
RR
Louisiana(5/24/2016)
RR
Maine(5/24/2016)
RR
Maryland(5/24/2016)
RR
Massachusetts(5/24/2016)
RR
Michigan(5/24/2016)
RR
Minnesota(5/24/2016)
RR
Mississippi(5/24/2016)
RR
Missouri(5/24/2016)
RR
Montana(5/24/2016)
RR
Nebraska(5/24/2016)
RR
Nevada(5/24/2016)
RR
New Hampshire(5/24/2016)
RR
New Jersey(5/24/2016)
RR
New Mexico(5/24/2016)
RR
New York(5/24/2016)
RR
North Carolina(5/24/2016)
RR
North Dakota(5/24/2016)
RR
Ohio(5/24/2016)
RR
Oklahoma(5/24/2016)
RR
Oregon(5/24/2016)
RR
Pennsylvania(5/24/2016)
RR
Puerto Rico(1/27/2025)
RR
Rhode Island(5/24/2016)
RR
South Carolina(5/24/2016)
RR
South Dakota(5/24/2016)
RR
Tennessee(5/24/2016)
RR
Texas(5/24/2016)
RR
Utah(5/24/2016)
RR
Vermont(5/24/2016)
RR
Virgin Islands(1/27/2025)
RR
Virginia(5/24/2016)
RR
Washington(5/24/2016)
RR
West Virginia(5/24/2016)
RR
Wisconsin(5/24/2016)
RR
Wyoming(5/24/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
