AG
Andrew J. Garten
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
Newark, NJ 07102
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CRD#: 5530014
AG
Professional summary
Andrew Jerome Garten, who also goes by Andrew Jerome Garten, is a registered financial professional currently at PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC located in Newark, New Jersey.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 2008. Andrew has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Andrew Jerome Garten
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.
CRS (Client Relationship Summary) - BD
Click below to view Andrew Jerome Garten's 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®
NoneExperience
Current
June 9, 2025 - Present
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
Office #1: 655 Broad Street, Newark, NJ 07102BD
CRD#: 18353
Newark, NJ
Past
November 30, 2023 - May 28, 2025
ICAPITAL MARKETS LLC
BD
CRD#: 118219
NEW YORK, NY
Past
September 27, 2023 - November 30, 2023
ICAPITAL SECURITIES, LLC
BD
CRD#: 171061
NEW YORK, NY
Past
March 27, 2023 - October 31, 2023
SKYWAY CAPITAL MARKETS, LLC
BD
CRD#: 124630
TAMPA, FL
Past
March 23, 2015 - October 26, 2022
GRIFFIN CAPITAL SECURITIES, LLC
BD
CRD#: 37739
IRVINE, CA
Past
August 5, 2008 - April 14, 2015
CCO CAPITAL, LLC
BD
CRD#: 31147
PHOENIX, AZ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(6/9/2025)
RR
Alaska(6/9/2025)
RR
Arizona(6/9/2025)
RR
Arkansas(6/9/2025)
RR
California(6/9/2025)
RR
Colorado(6/9/2025)
RR
Connecticut(6/9/2025)
RR
Delaware(6/9/2025)
RR
District of Columbia(6/9/2025)
RR
Florida(6/9/2025)
RR
Georgia(6/9/2025)
RR
Hawaii(6/9/2025)
RR
Idaho(6/9/2025)
RR
Illinois(6/9/2025)
RR
Indiana(6/9/2025)
RR
Iowa(6/9/2025)
RR
Kansas(6/9/2025)
RR
Kentucky(6/9/2025)
RR
Louisiana(6/9/2025)
RR
Maine(6/9/2025)
RR
Maryland(6/9/2025)
RR
Massachusetts(6/9/2025)
RR
Michigan(6/9/2025)
RR
Minnesota(6/9/2025)
RR
Mississippi(6/9/2025)
RR
Missouri(6/9/2025)
RR
Montana(6/9/2025)
RR
Nebraska(6/9/2025)
RR
Nevada(6/9/2025)
RR
New Hampshire(6/9/2025)
RR
New Jersey(6/9/2025)
RR
New Mexico(6/9/2025)
RR
New York(6/9/2025)
RR
North Carolina(6/9/2025)
RR
North Dakota(6/9/2025)
RR
Ohio(6/9/2025)
RR
Oklahoma(6/9/2025)
RR
Oregon(6/9/2025)
RR
Pennsylvania(6/9/2025)
RR
Rhode Island(6/9/2025)
RR
South Carolina(6/9/2025)
RR
South Dakota(6/9/2025)
RR
Tennessee(6/9/2025)
RR
Texas(6/9/2025)
RR
Utah(6/9/2025)
RR
Vermont(6/9/2025)
RR
Virginia(6/9/2025)
RR
Washington(6/9/2025)
RR
West Virginia(6/9/2025)
RR
Wisconsin(6/9/2025)
RR
Wyoming(6/9/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PI
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
PAMCO SECURITIES CORPORATION | PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC | PRUDENTIAL ASSET MANAGEMENT COMPANY SECURITIES CORPORATION
CRD#: 18353 / SEC#: , 8-36540
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
655 Broad Street 19th Floor, Newark, NJ 07102
Mailing Address
655 Broad Street 19th Floor, Newark, NJ 07102
Phone number
(973) 802-6000
Established
Delaware since 10/09/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
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
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.
