Joyce B. Erickson
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.
Joyce Budd Erickson, who also goes by Joy B Erickson, Joy Budd Erickson, Joy Budd Levitan, Joy Erickson Levitan, Joy Levitan, was a registered financial professional .
Joyce is a previously registered financial professional and started their career in finance in 1980. Joyce had worked at 6 firms and has passed the SIE, Series 5, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2005 - May 31, 2016
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
April 3, 1997 - April 30, 2005
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
April 7, 1995 - March 18, 1997
UNITED SECURITIES GROUP, INC.
June 28, 1993 - March 27, 1995
POLARIS FINANCIAL SERVICES, INC.
July 9, 1984 - September 13, 1991
NORTH AMERICAN INVESTMENT CORP.
January 15, 1980 - July 16, 1984
BURGESS & LEITH INCORPORATED
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
Series 5
Date: 10/19/1981
Interest Rate Options ExaminationCurrent 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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