Dean K. Glauser

PRUDENTIAL ANNUITIES DISTRIBUTORS,

Shelton, CT 06484

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CRD#: 6366488

Professional summary

Dean K Glauser is a registered financial professional currently at PRUDENTIAL ANNUITIES DISTRIBUTORS, INC located in Shelton, Connecticut.

Dean is registered as a RR (Registered Representative) and started their career in finance in 2014. Dean has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dean K Glauser's CRS (Customer Relationship Summary).

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®

None

Experience

Current

April 26, 2018 - Present

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

Office #1: 1 Corporate Drive, Shelton, CT 06484

CRD#: 21570

Shelton, CT

Past

May 7, 2018 - November 4, 2020

AST INVESTMENT SERVICES, INC.

RIA

CRD#: 108897

Dresher, PA

Past

May 29, 2015 - April 18, 2018

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

CHALFONT, PA

Past

August 7, 2014 - April 18, 2018

PRUCO SECURITIES, LLC.

CRD#: 5685

CHALFONT, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Colorado
(7/2/2024)

Iowa
(7/2/2024)

Kansas
(7/2/2024)

Minnesota
(7/3/2024)

Missouri
(7/2/2024)

Nebraska
(7/2/2024)

North Dakota
(6/7/2024)

Pennsylvania
(4/26/2018)

South Dakota
(6/7/2024)

Wyoming
(6/7/2024)

Exams

State Security Law Exam

IAR

Series 65

Date: 5/21/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/5/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/27/2016

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/7/2014

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

AMERICAN SKANDIA MARKETING, INC. | PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

CRD#: 21570 / SEC#: , 8-39058

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

One Corporate Drive, Shelton, CT 06484

Mailing Address

One Corporate Drive, Shelton, CT 06484

Phone number

(800) 628-6039

Established

Delaware since 09/08/1987

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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

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.

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Advisor Monitoring

Firm Stability Insights

Dean K. Glauser

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dean K Glauser's CRS (Customer Relationship Summary).

Certified licenses

Experience

AST INVESTMENT SERVICES, INC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/21/2015

Series 63

Date: 9/5/2014

SIE

Date: 10/1/2018

Series 7

Date: 9/27/2016

Series 6

Date: 8/7/2014

FINRA

Current Firm

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

TRUST BUT VERIFY

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