John F. Rosellini
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.
John Frank Rosellini III, who also goes by John F Rosellini III, John Frank Rosellini, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2007. John had worked at 3 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, 2011 - June 15, 2026
PGIM INVESTMENTS LLC
September 16, 2011 - June 12, 2026
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
November 30, 2007 - August 31, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 6, 2007 - August 31, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
PGIM INVESTMENTS LLC
CRD#: 105670 / SEC#: 801-31104
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
PGIM INVESTMENTS LLC
CRD#: 105670 / SEC#: 801-31104
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 196 |
| AUM (Assets Under Management) | $ 322,085,635,448 |
Red Flags
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