Carolynn L. Smith

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

Fort Washington, PA 19034

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CRD#: 4775467

Professional summary

Carolynn Leah Smith, who also goes by Carolynn Leah Nash, Carolynn L Nast, Carolynn Leah Nast, is a registered financial professional currently at PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC located in Fort Washington, Pennsylvania and PRUDENTIAL ANNUITIES DISTRIBUTORS, INC located in Fort Washington, Pennsylvania.

Carolynn is registered as a RR (Registered Representative) and started their career in finance in 2004. Carolynn has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 31, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Carolynn Leah Nash | Carolynn L Nast | Carolynn Leah Nast

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 Carolynn Leah Smith'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

July 21, 2015 - Present

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

Office #1: 600 Office Center Drive, Fort Washington, PA 19034

CRD#: 18353

Fort Washington, PA

Current

November 1, 2023 - Present

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

Office #1: 600 Office Center Drive, Fort Washington, PA 19034

CRD#: 21570

Fort Washington, PA

Current

November 1, 2023 - Present

PRUCO SECURITIES, LLC.

Office #1: 600 Office Center Drive, Fort Washington, PA 19034

RIA

CRD#: 5685

Fort Washington, PA

Past

April 16, 2015 - April 29, 2022

PRUCO SECURITIES, LLC.

CRD#: 5685

Newark, NJ

Past

February 6, 2008 - January 20, 2015

AST INVESTMENT SERVICES, INC.

RIA

CRD#: 108897

DRESCHER, PA

Past

January 23, 2008 - April 29, 2022

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

Shelton, CT

Past

March 20, 2006 - May 7, 2007

AST INVESTMENT SERVICES, INC.

RIA

CRD#: 108897

SHELTON, CT

Past

October 6, 2005 - May 7, 2007

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570

DRESHER, PA

Past

August 2, 2004 - June 1, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PRUCO SECURITIES, LLC.

PRUCO SECURITIES CORPORATION | PRUDENTIAL FINANCIAL PLANNING SERVICES | PRUCO SECURITIES, LLC. | PRUCO SECURITIES, LLC

CRD#: 5685 / SEC#: 801-52208, 8-16402

RIA

Registered Investment Advisory firm - SEC (6/28/1996 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/20/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/19/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/27/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/30/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 10/26/2006

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

PRUCO SECURITIES, LLC.

PRUCO SECURITIES CORPORATION | PRUDENTIAL FINANCIAL PLANNING SERVICES | PRUCO SECURITIES, LLC. | PRUCO SECURITIES, LLC

CRD#: 5685 / SEC#: 801-52208, 8-16402

RIA

Registered Investment Advisory firm - SEC (6/28/1996 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

751 Broad Street, Newark, NJ 07102-3777

Mailing Address

751 Broad Street, Newark, NJ 07102-3777

Phone number

(973) 802-6000

Established

New Jersey since 09/22/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

387

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PRUCO SECURITIES, LLC (3/25/2025)

Direct owners and executive officers

Name	Position	CRD#
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA	SOLE MEMBER
FELICIANO, DEXTER MICHAEL	PRESIDENT	5483537
FLORIO, KELLY NICOLE	ANTI-MONEY LAUNDERING OFFICER	6446272
FONTANO, ANTHONY MICHAEL	ELECTED MANAGER	6852155
HYNES, PATRICK LIAM	CHAIRMAN, ELECTED MANAGER	2748918
PATEL, PARANJ	CHIEF COMPLIANCE OFFICER	4235738
SMIT, ROBERT PHILIP	CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, CONTROLLER, PRINCIPAL OPERATIONS OFFICER	2332366
THOMSEN, JORDAN KARSTEN	CHIEF LEGAL OFFICER	2821664

Disclosures

Regulatory Event	30
Arbitration	13
Bond	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/27/2025	Cover Page	Report
12/22/2023	Cover Page	Report
12/22/2023	Cover Page	Report

Red Flags

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

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Firm Stability Insights

Carolynn L. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Carolynn Leah Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

AST INVESTMENT SERVICES, INC.

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

AST INVESTMENT SERVICES, INC.

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/20/2004

Series 63

Date: 8/19/2004

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 8/27/2004

Series 7

Date: 7/30/2004

Series 26

Date: 10/26/2006

FINRA

Current Firm

PRUCO SECURITIES, LLC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PRUCO SECURITIES, LLC.

TRUST BUT VERIFY

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