David P. Schneider
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.
David P Schneider, who also goes by David Patrick Schneider, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2018. David had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2019 - May 23, 2023
PGIM INVESTMENTS LLC
November 1, 2019 - July 13, 2026
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
October 16, 2018 - October 4, 2019
OPPENHEIMER & CO. INC.
August 23, 2018 - October 4, 2019
OPPENHEIMER & CO. INC.
Primary Firm SEC Registration
PGIM INVESTMENTS LLC
CRD#: 105670 / SEC#: 801-31104
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
Current Firm
PGIM INVESTMENTS LLC
CRD#: 105670 / SEC#: 801-31104
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 196 |
| AUM (Assets Under Management) | $ 322,085,635,448 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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