Sheryl Goldman
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.
Sheryl Goldman, who also goes by Sheryl Quellman, was a registered financial professional .
Sheryl is a previously registered financial professional and started their career in finance in 2003. Sheryl had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 2008 - August 25, 2015
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
September 11, 2006 - January 31, 2008
IFMG SECURITIES, INC.
July 24, 2006 - September 12, 2006
ESSEX NATIONAL SECURITIES, LLC
July 24, 2006 - September 12, 2006
ESSEX NATIONAL SECURITIES, LLC
August 30, 2005 - July 25, 2006
HSBC SECURITIES (USA) INC.
January 3, 2005 - April 11, 2005
CAPITAL ONE INVESTMENT SERVICES LLC
May 24, 2004 - August 19, 2005
CAPITAL ONE FINANCIAL ADVISORS LLC
January 21, 2004 - January 3, 2005
GREENPOINT SECURITIES LLC
October 30, 2003 - December 11, 2003
IDS LIFE INSURANCE COMPANY
October 30, 2003 - December 11, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
