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SM

Shane T. Mcgrath

PRUDENTIAL ANNUITIES DISTRIBUTORS,
Shelton, CT 06484
Some features on this profile are disabled
CRD#: 4458909
SM

Professional summary

Shane Thomas Mcgrath is a registered financial professional currently at PRUDENTIAL ANNUITIES DISTRIBUTORS, INC located in Shelton, Connecticut.

Shane is registered as a RR (Registered Representative) and started their career in finance in 2002. Shane has worked at 11 firms and has passed the Series 66, SIE, Series 7, Series 53 and Series 24 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Shane Thomas Mcgrath'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

June 27, 2018 - Present

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

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

October 17, 2016 - March 29, 2022

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

February 23, 2015 - June 17, 2016

SAYBRUS EQUITY SERVICES, LLC

BD
CRD#: 153319
HARTFORD, CT
Past

August 13, 2013 - February 24, 2015

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
BLOOMFIELD, CT
Past

January 23, 2012 - January 2, 2015

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

January 23, 2012 - February 24, 2015

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

January 23, 2012 - February 24, 2015

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
NEW YORK CITY, NY
Past

March 23, 2010 - September 5, 2013

TOWER SQUARE SECURITIES, INC.

RIA
CRD#: 833
BLOOMFIELD, CT
Past

January 19, 2007 - September 6, 2013

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
HARTFORD, CT
Past

August 29, 2006 - September 6, 2013

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
HARTFORD, CT
Past

June 23, 2005 - July 28, 2006

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

May 18, 2004 - June 3, 2005

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
EL SEGUNDO, CA
Past

October 17, 2002 - May 6, 2004

VP DISTRIBUTORS LLC

BD
CRD#: 3036
HARTFORD, CT
Past

January 15, 2002 - May 6, 2004

WS GRIFFITH SECURITIES, INC.

BD
CRD#: 10410
HARTFORD, CT

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
Connecticut
(6/27/2018)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/28/2009
Uniform Combined 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: 1/14/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 11/7/2003
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/3/2002
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 MARIAPRESIDENT5841463
HAGGERTY, SCOTT PETERCHIEF EXECUTIVE OFFICER2619329
HARTNETT, CHRISTINA ACHIEF OPERATING OFFICER2672099
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.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570Shelton, CT 06484

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