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PP

Prince A. Patterson

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
Newark, NJ 07102
Some features on this profile are disabled
CRD#: 6983088
PP

Professional summary

Prince Andrew Patterson, who also goes by Prince Patterson, Prince A Patterson Smith, Prince Andrew Patterson-smith, is a registered financial professional currently at PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC located in Newark, New Jersey.

Prince is registered as a RR (Registered Representative) and started their career in finance in 2018. Prince has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Prince Patterson | Prince A Patterson Smith | Prince Andrew Patterson-Smith

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 Prince Andrew Patterson'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

August 17, 2023 - Present

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

Office #1: 213 Washington Street 14th Floor - Gi/nj, Newark, NJ 07102
BD
CRD#: 18353
Newark, NJ
Past

November 11, 2022 - February 27, 2023

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
PRINCETON, NJ
Past

October 26, 2018 - July 26, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
PENNINGTON, NJ

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
(8/17/2023)
RR
Arkansas
(8/17/2023)
RR
California
(8/17/2023)
RR
Connecticut
(8/17/2023)
RR
Delaware
(8/17/2023)
RR
Florida
(8/17/2023)
RR
Georgia
(8/17/2023)
RR
Hawaii
(8/17/2023)
RR
Illinois
(8/17/2023)
RR
Indiana
(8/17/2023)
RR
Iowa
(8/17/2023)
RR
Maine
(8/17/2023)
RR
Massachusetts
(8/17/2023)
RR
Michigan
(8/17/2023)
RR
Minnesota
(8/17/2023)
RR
Mississippi
(8/17/2023)
RR
Missouri
(8/17/2023)
RR
New Jersey
(8/17/2023)
RR
New York
(8/17/2023)
RR
North Carolina
(8/17/2023)
RR
Ohio
(8/17/2023)
RR
Pennsylvania
(8/17/2023)
RR
Utah
(8/17/2023)
RR
Virginia
(8/17/2023)
RR
Washington
(8/17/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 11/28/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/27/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/26/2018
General Securities Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PIFM HOLDCO, LLCSOLE MEMBER
HENNING, MEREDITH FARWELLSENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER4315489
LEE, H SOOSENIOR VICE PRESIDENT AND CHIEF LEGAL OFFICER6834507
LEIBOWITZ, KARENPRESIDENT AND CHIEF ADMINISTRATIVE OFFICER2693999
SMIT, ROBERT PHILIPCHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER2332366
TAITE, LOUIS ANTHONYCHIEF OPERATIONS OFFICER AND SENIOR VICE PRESIDENT5065572

Disclosures

Regulatory Event6

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.

Company Information

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353Newark, NJ 07102

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