Elizabeth J. Marrington
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.
Elizabeth Jane Marrington, who also goes by Rogers Marrington, Betsy Rogers, Elizabeth Jane Rogers, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 1981. Elizabeth had worked at 5 firms and has passed the Series 66, Series 63, Series 7, Series 6 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2012 - July 9, 2013
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
May 11, 2009 - May 25, 2012
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
July 29, 2004 - December 17, 2008
GROVE POINT INVESTMENTS, LLC
March 30, 2004 - December 17, 2008
GROVE POINT INVESTMENTS, LLC
March 7, 2003 - March 12, 2004
MONY SECURITIES CORPORATION
November 17, 1997 - May 24, 2002
HIMCO DISTRIBUTION SERVICES COMPANY
May 18, 1981 - July 1, 1982
CREDIT SUISSE SECURITIES (USA) LLC
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 2
Date: 12/1/1987
Non-Member General Securities 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
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.
