PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
CRD #40596 SEC #801-54806 HARTFORD, CT 860-534-2000
SEC Registered Broker-Dealer
Total AUM
--
Discretionary
--
Employees
251
Clients
--
Accounts
--
Firm Details
- Organization Type
- Corporation
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jan 27, 2005
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| ANDERSON, RUSSELL WARD | I | PRESIDENT, DIRECTOR | NA | Control |
| ANDERSON, RUSSELL WARD | I | PRESIDENT, DIRECTOR | NA | Control |
| ANDERSON, RUSSELL WARD | I | PRESIDENT, DIRECTOR | NA | Control |
| BERGSTEINSSON, PAUL | I | VP, ASSISTANT TREASURER | NA | Control |
| BRONSON, JOHN LINDLEY | I | SECRETARY | NA | Control |
| BRONSON, JOHN LINDLEY | I | SECRETARY | NA | Control |
| BRONSON, JOHN LINDLEY | I | SECRETARY | NA | Control |
| BRONSON, JOHN LINDLEY | I | SECRETARY | NA | Control |
| BRONSON, JOHN LINDLEY | I | SECRETARY | NA | Control |
| CHAPLIN, C EDWARD | I | TREASURER | NA | Control |
| CHAPLIN, C EDWARD | I | TREASURER | NA | Control |
| CHAPLIN, C EDWARD | I | TREASURER | NA | Control |
| CHAPLIN, C EDWARD | I | TREASURER | NA | Control |
| CHAPLIN, C EDWARD | I | TREASURER | NA | Control |
| COOPER, SUSAN LAURA | I | SECRETARY | NA | Control |
| COOPER, SUSAN LAURA | I | SECRETARY | NA | Control |
| COOPER, SUSAN LAURA | I | SECRETARY | NA | Control |
| COROSO, BRIAN JOSEPH | I | COMPLIANCE OFFICER, ASSISTANT VICE PRESIDENT, ASSISTANT TREASURER | NA | Control |
| COROSO, BRIAN JOSEPH | I | COMPLIANCE OFFICER, ASSISTANT VICE PRESIDENT, ASSISTANT TREASURER | NA | Control |
| COROSO, BRIAN JOSEPH | I | COMPLIANCE OFFICER, ASSISTANT VICE PRESIDENT, ASSISTANT TREASURER | NA | Control |
| CRAWFORD, GARY RAYMOND JR | I | CHIEF FINANCIAL OFFICER, ASSISTANT TREASURER, SROP | NA | Control |
| CRAWFORD, GARY RAYMOND JR | I | CHIEF FINANCIAL OFFICER, ASSISTANT TREASURER, SROP | NA | Control |
| CRAWFORD, GARY RAYMOND JR | I | CHIEF FINANCIAL OFFICER, ASSISTANT TREASURER, SROP | NA | Control |
| CRAWFORD, GARY RAYMOND JR | I | CHIEF FINANCIAL OFFICER, ASSISTANT TREASURER, SROP | NA | Control |
| CRAWFORD, GARY RAYMOND JR | I | CHIEF FINANCIAL OFFICER, ASSISTANT TREASURER, SROP | NA | Control |
| CRAWFORD, GARY RAYMOND JR | I | CHIEF FINANCIAL OFFICER, ASSISTANT TREASURER, SROP | NA | Control |
| CRAWFORD, GARY RAYMOND JR | I | CHIEF FINANCIAL OFFICER, ASSISTANT TREASURER, SROP | NA | Control |
| CRAWFORD, GARY RAYMOND JR | I | CHIEF FINANCIAL OFFICER, ASSISTANT TREASURER, SROP | NA | Control |
| ERICKSON, JOYCE BUDD | I | ASSISTANT COMPLIANCE OFFICER, ASSISTANT TREASURER, CROP | NA | Control |
| ERICKSON, JOYCE BUDD | I | ASSISTANT COMPLIANCE OFFICER, ASSISTANT TREASURER, CROP | NA | Control |
| ERICKSON, JOYCE BUDD | I | CROP | NA | Control |
| ERICKSON, JOYCE BUDD | I | CROP | NA | Control |
| ERICKSON, JOYCE BUDD | I | ASSISTANT COMPLIANCE OFFICER, ASSISTANT TREASURER, CROP | NA | Control |
| ERICKSON, JOYCE BUDD | I | CROP | NA | Control |
| ERICKSON, JOYCE BUDD | I | CROP | NA | Control |
| ERICKSON, JOYCE BUDD | I | CROP | NA | Control |
| FREY, JOHN PATRICK | I | VP, ASSISTANT TREASURER | NA | Control |
| GUNIA, ROBERT FRANCIS | I | DIRECTOR | NA | Control |
| GUNIA, ROBERT FRANCIS | I | DIRECTOR | NA | Control |
| GUNIA, ROBERT FRANCIS | I | DIRECTOR | NA | Control |
| GUNIA, ROBERT FRANCIS | I | DIRECTOR | NA | Control |
| GUNIA, ROBERT FRANCIS | I | DIRECTOR | NA | Control |
| HUNTING, ERIC ROBERT | I | ASSISTANT VICE PRESIDENT | NA | Control |
| JONES, THOMAS CHESTER | I | DIRECTOR | NA | Control |
| JONES, THOMAS CHESTER | I | DIRECTOR | NA | Control |
| JONES, THOMAS CHESTER | I | DIRECTOR | NA | Control |
| KIM, JOHN YONG | I | PRESIDENT, DIRECTOR | NA | Control |
| KIM, JOHN YONG | I | PRESIDENT, DIRECTOR | NA | Control |
| KIM, JOHN YONG | I | PRESIDENT, DIRECTOR | NA | Control |
| KIM, JOHN YONG | I | PRESIDENT, DIRECTOR | NA | Control |
| KIM, JOHN YONG | I | PRESIDENT, DIRECTOR | NA | Control |
| MCGUIRE, CARL LOUIS | I | CHIEF COMPLIANCE OFFICER AND VICE PRESIDENT | NA | Control |
| MCGUIRE, CARL LOUIS | I | COMPLIANCE OFFICER AND VICE PRESIDENT | NA | Control |
| MCGUIRE, CARL LOUIS | I | COMPLIANCE OFFICER AND VICE PRESIDENT | NA | Control |
| MCHALE, BARRY RICHARD | I | VP, ASSISTANT TREASURER | NA | Control |
| PARSONS, MARK ALAN | I | DIRECTOR, VICE PRESIDENT, CHIEF COUNSEL | NA | Control |
| PARSONS, MARK ALAN | I | DIRECTOR, VICE PRESIDENT, CHIEF COUNSEL | NA | Control |
| PARSONS, MARK ALAN | I | DIRECTOR, VICE PRESIDENT, CHIEF COUNSEL | NA | Control |
| SALITERMAN, VICTOR EDWARD | I | DIRECTOR | NA | Control |
| SALITERMAN, VICTOR EDWARD | I | DIRECTOR | NA | Control |
| SALITERMAN, VICTOR EDWARD | I | DIRECTOR | NA | Control |
| SALITERMAN, VICTOR EDWARD | I | DIRECTOR | NA | Control |
| SLEYSTER, SCOTT GARRETT | I | DIRECTOR | NA | Control |
| SLEYSTER, SCOTT GARRETT | I | DIRECTOR | NA | Control |
| SLEYSTER, SCOTT GARRETT | I | DIRECTOR | NA | Control |
| SLEYSTER, SCOTT GARRETT | I | DIRECTOR | NA | Control |
| SLEYSTER, SCOTT GARRETT | I | DIRECTOR | NA | Control |
| THAI, BACH MAI THI | I | VICE PRESIDENT,TREASURER | NA | Control |
| THAI, BACH MAI THI | I | VICE PRESIDENT,TREASURER | NA | Control |
| THAI, BACH MAI THI | I | VICE PRESIDENT,TREASURER | NA | Control |
| WALDNER, KELLY KAY MS | I | VICE PRESIDENT | NA | Control |
| WALKER, JEAN HELENE | I | DIRECTOR | NA | Control |
| WALKER, JEAN HELENE | I | DIRECTOR | NA | Control |
| WALKER, JEAN HELENE | I | DIRECTOR | NA | Control |
| WALKER, LINDA LEE | I | COMPLIANCE OFFICER AND VICE PRESIDENT | NA | Control |
| WALKER, LINDA LEE | I | COMPLIANCE OFFICER AND VICE PRESIDENT | NA | Control |
| ZARELLI, MICHAEL ROBERT | I | DIRECTOR | NA | Control |
| ZARELLI, MICHAEL ROBERT | I | DIRECTOR | NA | Control |
| ZARELLI, MICHAEL ROBERT | I | DIRECTOR | NA | Control |
| ZARELLI, MICHAEL ROBERT | I | DIRECTOR | NA | Control |
| ZARELLI, MICHAEL ROBERT | I | DIRECTOR | NA | Control |
| CONNECTICUT GENERAL CORP. | DE | SOLE SHAREHOLDER | E | Control |
| CONNECTICUT GENERAL CORP. | DE | SOLE SHAREHOLDER | E | Control |
| CONNECTICUT GENERAL CORP. | DE | SOLE SHAREHOLDER | E | Control |
| PRUDENTIAL RETIREMENT FINANCIAL SERVICES HOLDING LLC | DE | SOLE SHAREHOLDER | E | Control |
| PRUDENTIAL RETIREMENT FINANCIAL SERVICES HOLDING LLC | DE | SOLE SHAREHOLDER | E | Control |
| PRUDENTIAL RETIREMENT FINANCIAL SERVICES HOLDING LLC | DE | SOLE SHAREHOLDER | E | Control |
| PRUDENTIAL RETIREMENT FINANCIAL SERVICES HOLDING LLC | DE | SOLE SHAREHOLDER | E | Control |
| PRUDENTIAL RETIREMENT FINANCIAL SERVICES HOLDING LLC | DE | SOLE SHAREHOLDER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| PRUDENTIAL FINANCIAL, INC. | DE | PRUDENTIAL RETIREMENT FINANCIAL SERVICES HOLDING LLC | E | Control |
| PRUDENTIAL FINANCIAL, INC. | DE | PRUDENTIAL RETIREMENT FINANCIAL SERVICES HOLDING LLC | E | Control |
| PRUDENTIAL FINANCIAL, INC. | DE | PRUDENTIAL RETIREMENT FINANCIAL SERVICES HOLDING LLC | E | Control |
| PRUDENTIAL FINANCIAL, INC. | DE | PRUDENTIAL RETIREMENT FINANCIAL SERVICES HOLDING LLC | E | Control |
| PRUDENTIAL FINANCIAL, INC. | DE | PRUDENTIAL RETIREMENT FINANCIAL SERVICES HOLDING LLC | E | Control |
Registrations
Federal
IA
Jan 27, 2005 REGISTERED
Notice Filings (45)
AK AL AR CA CO CT DC DE FL GA HI IA ID IL IN KS LA MD ME MI MN MO MS MT NC NE NH NJ NM NV NY OH OK PR RI SC SD TN TX UT VA VT WA WI WV
Address
ONE COMMERCIAL PLAZA 280 TRUMBULL STHARTFORD, CT 6103
USA
Phone: 860-534-2000