AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
WH

Warren A. Huton

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
Newark, NJ 07102
Some features on this profile are disabled
CRD#: 7083141
WH

Professional summary

Warren Asley Huton, who also goes by Warren Asley Huton, Warren Huton, is a registered financial professional currently at PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC located in Newark, New Jersey.

Warren is registered as a RR (Registered Representative) and started their career in finance in 2019. Warren has worked at 3 firms and has passed the Series 63, Series 6TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Warren Asley Huton | Warren Huton

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 Warren Asley Huton'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

December 16, 2024 - Present

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

Office #1: 655 Broad Street, Newark, NJ 07102
BD
CRD#: 18353
Newark, NJ
Past

December 22, 2022 - December 16, 2024

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

March 10, 2021 - December 9, 2022

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
NEWARK, NJ
Past

June 6, 2019 - March 16, 2021

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BD
CRD#: 21570
SHELTON, CT

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
Florida
(12/16/2024)
RR
New Jersey
(12/16/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 7/25/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 6/6/2019
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/12/2019
Securities Industry Essentials 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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, KARENPRESIDENT2693999
PRUZINSKY, KRISTIN ANNESENIOR VICE PRESIDENT AND CHIEF PRODUCT OFFICER5347722
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

TRUST BUT VERIFY

Monitor Warren Huton

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Sungmin Park
Sungmin ParkAdvisorCheck Check Mark
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IAR
RR
Florham Park, NJ
Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
PR
MINNEAPOLIS, MN
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.