Lisa A. Grimm
Professional summary
Lisa Ann Grimm, who also goes by Lisa Ann Miller, Lisa Ann O'malley, is a registered financial professional currently at PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC located in Newark, New Jersey.
Lisa is registered as a RR (Registered Representative) and started their career in finance in 2006. Lisa has worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lisa Ann Grimm's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 26, 2024 - Present
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
Office #1: 655 Broad Street 15th Floor, Newark, NJ 07103September 3, 2020 - April 30, 2024
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
March 2, 2018 - July 28, 2020
ATHENE SECURITIES, LLC
July 11, 2016 - February 24, 2018
DIRECTED SERVICES LLC
October 18, 2012 - June 17, 2016
MSI FINANCIAL SERVICES, INC.
August 14, 2006 - January 2, 2015
NEW ENGLAND SECURITIES
August 14, 2006 - June 17, 2016
METLIFE INVESTORS DISTRIBUTION COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/26/2024)
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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