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DS

Daniel Shipman

PRUDENTIAL ANNUITIES DISTRIBUTORS,
Shelton, CT 06484
Some features on this profile are disabled
CRD#: 4235836
DS

Professional summary

Daniel Shipman, who also goes by Daniel Paul Shipman, is a registered financial professional currently at PRUDENTIAL ANNUITIES DISTRIBUTORS, INC located in Shelton, Connecticut.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2001. Daniel has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Daniel Paul Shipman

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Shipman's CRS (Customer Relationship Summary).
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®
None

Experience

Current

December 13, 2019 - Present

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

Office #1: 1 Corporate Drive, Shelton, CT 06484
BD
CRD#: 21570
Shelton, CT
Past

September 17, 2018 - December 13, 2019

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
ISELIN, NJ
Past

October 26, 2017 - March 14, 2018

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

January 30, 2016 - March 14, 2018

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
NEW YORK, NY
Past

December 19, 2012 - December 15, 2015

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
ISELIN, NJ
Past

March 8, 2012 - July 9, 2012

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
STATEN ISLAND, NY
Past

January 2, 2007 - June 4, 2010

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
NEW YORK, NY
Past

August 29, 2003 - January 2, 2007

LYNCH, JONES & RYAN LLC

BD
CRD#: 3198
NEW YORK, NY
Past

June 30, 2001 - October 2, 2002

DATEK ONLINE FINANCIAL SERVICES LLC

BD
CRD#: 36807
JERSEY CITY, NJ
Past

January 1, 2001 - June 30, 2001

ICAPITAL MARKETS LLC

BD
CRD#: 5209
OMAHA, NE

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/23/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/26/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/26/2002
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

PA
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
AMERICAN SKANDIA MARKETING, INC. | PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570 / SEC#: , 8-39058

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
One Corporate Drive, Shelton, CT 06484
Mailing Address
One Corporate Drive, Shelton, CT 06484
Phone number
(800) 628-6039
Established
Delaware since 09/08/1987
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
THE PRUDENTIAL INSURANCE COMPANY OF AMERICASHAREHOLDER COMMON
CARROLL, TRACEY MARIACHIEF OPERATING OFFICER5841463
CARROLL, TRACEY MARIAPRESIDENT5841463
HAGGERTY, SCOTT PETERCHIEF EXECUTIVE OFFICER2619329
MCGRATH, SHANE THOMASCHIEF COMPLIANCE OFFICER4458909
SMIT, ROBERT PHILIPFINOP, CFO2332366
THOMSEN, JORDAN KCHIEF LEGAL OFFICER AND SECRETARY2821664

Disclosures

Regulatory Event2
Civil Event1

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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Company Information

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570Shelton, CT 06484

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