EN
Erika A. Nicholes
PRUDENTIAL ANNUITIES DISTRIBUTORS,
Shelton, CT 06484
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CRD#: 7546761
EN
Professional summary
Erika Ashley Nicholes, who also goes by Erika Nicholes, is a registered financial professional currently at PRUDENTIAL ANNUITIES DISTRIBUTORS, INC located in Shelton, Connecticut.
Erika is registered as a RR (Registered Representative) and started their career in finance in 2022. Erika has worked at 1 firm and has passed the Series 63, SIE and Series 6TO exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Erika Nicholes
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.
CRS (Client Relationship Summary) - BD
Click below to view Erika Ashley Nicholes's 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®
NoneExperience
Current
March 11, 2024 - Present
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
Office #1: 1 Corporate Drive, Shelton, CT 06484BD
CRD#: 21570
Shelton, CT
Past
July 12, 2022 - November 22, 2022
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
BD
CRD#: 21570
Dresher, PA
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
Arizona(5/3/2024)
RR
California(4/22/2024)
RR
District of Columbia(5/1/2024)
RR
Florida(4/23/2024)
RR
Hawaii(4/30/2024)
RR
Illinois(4/30/2024)
RR
Montana(7/2/2024)
RR
Nebraska(4/22/2024)
RR
Nevada(1/3/2025)
RR
New Mexico(5/1/2024)
RR
North Carolina(4/23/2024)
RR
North Dakota(5/6/2024)
RR
Ohio(4/22/2024)
RR
Oregon(7/5/2024)
RR
Pennsylvania(4/23/2024)
RR
Rhode Island(4/23/2024)
RR
South Dakota(5/8/2024)
RR
Texas(4/23/2024)
RR
Utah(4/22/2024)
RR
Vermont(4/30/2024)
RR
Washington(5/7/2024)
RR
Wyoming(5/1/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 6TO
Date: 5/31/2022
Investment Company Products/Variable Contracts Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
PA
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
AMERICAN SKANDIA MARKETING, INC. | PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
CRD#: 21570 / SEC#: , 8-39058
BD
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)
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.
Company Information
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
CRD#: 21570Shelton, CT 06484TRUST BUT VERIFY
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