Frank J. Ziegler
Professional summary
Frank Joseph Ziegler, who also goes by Frank Ziegler, is a registered financial professional currently at PRUDENTIAL ANNUITIES DISTRIBUTORS, INC located in Shelton, Connecticut.
Frank is registered as a RR (Registered Representative) and started their career in finance in 2006. Frank has worked at 10 firms and has passed the Series 66, Series 57TO, Series 52TO, SIE, Series 55, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Frank Joseph Ziegler's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 15, 2024 - Present
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
Office #1: 1 Corporate Drive, Shelton, CT 06484August 19, 2015 - May 17, 2024
PRUCO SECURITIES, LLC.
February 10, 2015 - August 6, 2015
PERSHING LLC
January 22, 2007 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
January 22, 2007 - September 9, 2013
WALNUT STREET SECURITIES, INC.
January 22, 2007 - September 9, 2013
TOWER SQUARE SECURITIES, INC.
January 22, 2007 - January 2, 2015
NEW ENGLAND SECURITIES
January 22, 2007 - February 3, 2015
MSI FINANCIAL SERVICES, INC.
June 9, 2006 - November 29, 2006
PNC WEALTH MANAGEMENT LLC
June 9, 2006 - November 29, 2006
PNC WEALTH MANAGEMENT LLC
March 10, 2006 - April 24, 2006
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/15/2024)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 7/26/2007
Limited Representative-Equity Trader ExamFINRA
Current Firm
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
CRD#: 21570 / SEC#: , 8-39058
Contact information
FINRA licenses (52 States and Territories)
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
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Company Information
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
CRD#: 21570Shelton, CT 06484TRUST BUT VERIFY
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