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Detailed Report
JOHN FRANK ROSELLINI III
JOHN F ROSELLINI III, JOHN FRANK ROSELLINI
CRD#: 4978090
IA
Investment Adviser
B
Broker
PGIM INVESTMENTS LLCCRD#: 105670 Wilmette, IL
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLCCRD#: 18353 Wilmette, IL
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - 2011 (3 years)2 FIRMS2011 - Present (13 years)
License(s)

State Registrations

B
Illinois 10/30/2013
B
Wisconsin 11/20/2018
IA
Illinois 3/8/2016

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PGIM INVESTMENTS LLC (CRD#:105670)
Wilmette, IL
Registered with this firm since 9/19/2011
B
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (CRD#:18353)
Wilmette, IL
Registered with this firm since 9/16/2011
Previous Registration(s)
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IA
 11/30/2007 - 08/31/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) FLORHAM PARK, NJ
B
 09/06/2007 - 08/31/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) FLORHAM PARK, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.