Keith B. Goncalves

PRUDENTIAL ANNUITIES DISTRIBUTORS,

Shelton, CT 06484

Some features on this profile are disabled

CRD#: 4886506

Professional summary

Keith Barros Goncalves, who also goes by Keith B Goncalves, is a registered financial professional currently at PRUDENTIAL ANNUITIES DISTRIBUTORS, INC located in Shelton, Connecticut.

Keith is registered as a RR (Registered Representative) and started their career in finance in 2006. Keith has worked at 3 firms and has passed the Series 63, Series 66, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Keith B Goncalves

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 Keith Barros Goncalves'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

September 10, 2021 - Present

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

Office #1: 1 Corporate Drive, Shelton, CT 06484

CRD#: 21570

Shelton, CT

Past

February 15, 2007 - May 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

BRIDGEPORT, CT

Past

February 15, 2007 - May 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

BRIDGEPORT, CT

Past

May 11, 2006 - December 20, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

WOODBRIDGE, CT

Past

April 6, 2006 - December 20, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

WOODBRIDGE, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Connecticut
(9/20/2021)

Exams

State Security Law Exam

Series 63

Date: 10/14/2021

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 5/10/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6TO

Date: 9/10/2021

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 8/12/2021

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/5/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

AMERICAN SKANDIA MARKETING, INC. | PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570 / SEC#: , 8-39058

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA	SHAREHOLDER COMMON
CARROLL, TRACEY MARIA	PRESIDENT	5841463
HAGGERTY, SCOTT PETER	CHIEF EXECUTIVE OFFICER	2619329
HARTNETT, CHRISTINA A	CHIEF OPERATING OFFICER	2672099
MCGRATH, SHANE THOMAS	CHIEF COMPLIANCE OFFICER	4458909
SMIT, ROBERT PHILIP	FINOP, CFO	2332366
THOMSEN, JORDAN K	CHIEF LEGAL OFFICER AND SECRETARY	2821664

Disclosures

Regulatory Event	2
Civil Event	1

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.

Similar Advisors

Donald Henry

CITIGROUP GLOBAL MARKETS INC.

IAR

Norwalk, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Keith B. Goncalves

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Keith Barros Goncalves's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/14/2021

Series 66

Date: 5/10/2006

Series 6TO

Date: 9/10/2021

SIE

Date: 8/12/2021

Series 7

Date: 4/5/2006

FINRA

Current Firm

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

TRUST BUT VERIFY

Similar Advisors