Mario Favetta
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.
Mario Favetta was a registered financial professional .
Mario is a previously registered financial professional and started their career in finance in 2002. Mario had worked at 11 firms and has passed the Series 66, SIE, Series 3, Series 7 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
September 30, 2016 - February 10, 2021
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
December 2, 2015 - September 6, 2016
FUNDS DISTRIBUTOR, LLC
August 7, 2012 - September 10, 2015
COHEN & STEERS SECURITIES, LLC
June 29, 2010 - July 3, 2012
FUNDS DISTRIBUTOR, LLC
September 27, 2007 - November 21, 2008
NUVEEN FUND ADVISORS, LLC
September 25, 2007 - November 21, 2008
NUVEEN SECURITIES, LLC
June 30, 2006 - August 22, 2007
MORGAN STANLEY DISTRIBUTION, INC.
October 4, 2004 - July 11, 2006
MORGAN STANLEY & CO. LLC
March 11, 2004 - September 28, 2004
LORD, ABBETT & CO. LLC
August 11, 2003 - September 28, 2004
LORD ABBETT DISTRIBUTOR LLC
April 1, 2003 - July 22, 2003
OPPENHEIMER & CO. INC.
May 1, 2002 - April 8, 2003
CIBC WORLD MARKETS CORP.
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 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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