Heather Rosen
Professional summary
Heather Rosen, who also goes by Heather Loraine Rispoli, Heather Rispoli, Heatherl Rispoli, Heather Loraine Rosen, is a registered financial professional currently at PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC located in Newark, New Jersey.
Heather is registered as a RR (Registered Representative) and started their career in finance in 2005. Heather has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Heather Rosen's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 12, 2021 - Present
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
Office #1: 655 Broad Street, Newark, NJ 07102February 22, 2018 - December 16, 2020
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
June 7, 2011 - January 2, 2018
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
March 23, 2009 - June 2, 2011
ALLIANCEBERNSTEIN L.P.
October 15, 2007 - June 2, 2011
ALLIANCEBERNSTEIN INVESTMENTS, INC.
August 10, 2006 - September 25, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 10, 2006 - September 25, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 15, 2005 - February 7, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 18, 2005 - February 7, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/12/2021)
Exams
FINRA
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
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