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DH

David R. Havern

PRUDENTIAL ANNUITIES DISTRIBUTORS,
ZIONSVILLE, IN
Some features on this profile are disabled
CRD#: 4832894
DH

Professional summary

David Richard Havern, who also goes by David Richard Havern Jr, David Havern, is a registered financial professional currently at PRUDENTIAL ANNUITIES DISTRIBUTORS, INC located in Zionsville, Indiana.

David is registered as a RR (Registered Representative) and started their career in finance in 2004. David has worked at 7 firms and has passed the Series 66, Series 6TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

David Richard Havern Jr | David Havern

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 David Richard Havern'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 18, 2025 - Present

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BD
CRD#: 21570
ZIONSVILLE, IN
Past

March 6, 2017 - June 3, 2025

BRIGHTHOUSE SECURITIES, LLC

BD
CRD#: 285300
CHARLOTTE, NC
Past

April 2, 2014 - March 6, 2017

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
NEW YORK CITY, NY
Past

February 12, 2013 - February 26, 2014

EDWARD JONES

RIA
CRD#: 250
ST. LOUIS, MO
Past

February 11, 2013 - February 26, 2014

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

July 21, 2008 - March 8, 2013

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
BIRMINGHAM, AL
Past

September 1, 2004 - January 18, 2008

FEDERATED INVESTMENT COUNSELING

RIA
CRD#: 105325
PITTSBURGH, PA
Past

August 16, 2004 - January 18, 2008

FEDERATED SECURITIES CORP.

BD
CRD#: 5009
PITTSBURGH, PA

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
California
(7/18/2025)
RR
Florida
(7/18/2025)
RR
Kentucky
(8/4/2025)
RR
New Mexico
(7/23/2025)
RR
Ohio
(7/21/2025)
RR
Pennsylvania
(7/21/2025)
RR
South Dakota
(7/22/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/30/2004
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/13/2004
General Securities Representative 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#: 21570Zionsville, IN

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