CW
Charlotte J. Walsh
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
NEW YORK, NY 10055
Some features on this profile are disabled
CRD#: 4587630
CW
Professional summary
Charlotte Junko Walsh, who also goes by Charlotte J Fujishiro, Charlotte J Walsh, Charlotte Walsh, is a registered financial professional currently at PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC located in New York, New York.
Charlotte is registered as a RR (Registered Representative) and started their career in finance in 2002. Charlotte has worked at 7 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Charlotte J Fujishiro | Charlotte J Walsh | Charlotte Walsh
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 Charlotte Junko Walsh'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®
NoneExperience
Current
October 14, 2020 - Present
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
Office #1: 55 East 52nd Street, New York, NY 10055BD
CRD#: 18353
NEW YORK, NY
Past
February 22, 2017 - June 9, 2020
CLEARBRIDGE INVESTMENTS, LLC
RIA
CRD#: 137028
NEW YORK, NY
Past
February 22, 2017 - June 9, 2020
FRANKLIN DISTRIBUTORS, LLC
BD
CRD#: 109064
SAN MATEO, CA
Past
February 21, 2012 - January 9, 2017
PUTNAM INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 106629
BOSTON, MA
Past
February 16, 2012 - January 9, 2017
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
BOSTON, MA
Past
November 11, 2009 - September 9, 2011
SILVER LEAF PARTNERS, LLC
BD
CRD#: 126694
NEW YORK, NY
Past
February 13, 2002 - August 11, 2004
BANC ONE INVESTMENT ADVISORS CORP
RIA
CRD#: 107247
CHICAGO, IL
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(10/14/2020)
RR
Alaska(10/14/2020)
RR
Arizona(10/14/2020)
RR
Arkansas(10/14/2020)
RR
California(10/14/2020)
RR
Colorado(10/14/2020)
RR
Connecticut(10/14/2020)
RR
Delaware(10/14/2020)
RR
District of Columbia(10/14/2020)
RR
Florida(10/14/2020)
RR
Georgia(10/14/2020)
RR
Hawaii(10/14/2020)
RR
Idaho(10/14/2020)
RR
Illinois(10/14/2020)
RR
Indiana(10/14/2020)
RR
Iowa(10/14/2020)
RR
Kansas(10/14/2020)
RR
Kentucky(10/14/2020)
RR
Louisiana(10/14/2020)
RR
Maine(10/14/2020)
RR
Maryland(10/14/2020)
RR
Massachusetts(10/14/2020)
RR
Michigan(10/14/2020)
RR
Minnesota(10/14/2020)
RR
Mississippi(10/14/2020)
RR
Missouri(10/14/2020)
RR
Montana(10/14/2020)
RR
Nebraska(10/14/2020)
RR
Nevada(10/14/2020)
RR
New Hampshire(10/14/2020)
RR
New Jersey(10/14/2020)
RR
New Mexico(10/14/2020)
RR
New York(10/14/2020)
RR
North Carolina(10/14/2020)
RR
North Dakota(10/14/2020)
RR
Ohio(10/14/2020)
RR
Oklahoma(10/14/2020)
RR
Oregon(10/14/2020)
RR
Pennsylvania(10/14/2020)
RR
Puerto Rico(10/14/2020)
RR
Rhode Island(10/14/2020)
RR
South Carolina(10/14/2020)
RR
South Dakota(10/14/2020)
RR
Tennessee(10/14/2020)
RR
Texas(10/14/2020)
RR
Utah(10/14/2020)
RR
Vermont(10/14/2020)
RR
Virgin Islands(10/14/2020)
RR
Virginia(10/14/2020)
RR
Washington(10/14/2020)
RR
West Virginia(10/14/2020)
RR
Wisconsin(10/14/2020)
RR
Wyoming(10/14/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
