linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Richard Kent Mastain

Prudential Investment Management Services LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Richard? Claim Your Profile

About Richard Kent Mastain

Richard Mastain is a financial advisor with over 30 years of experience in the financial services industry. Richard is currently registered with Prudential Investment Management Services LLC. Richard has previously held positions with several other firms, including Questar Capital Corporation, Zurich Kemper Distributors, Inc., and Fund/Plan Broker Services, Inc. Richard holds several securities licenses, including Series 6, 7, 24, 63, and 65. Richard is licensed in all 50 states.

Firm Information

Richard Mastain is currently registered with Prudential Investment Management Services LLC. Prudential Investment Management Services LLC is a Limited Liability Company formed on October 9, 1996. It is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has one approved SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

315

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Richard Mastain’s Registration & Firm History

NY

01/17/2001 - Present

Prudential Investment Management Services LLC (NEW YORK NY)

MN

07/20/1999 - 09/29/2000

QUESTAR CAPITAL CORPORATION (MINNEAPOLIS MN)

IL

01/23/1996 - 08/28/1997

ZURICH KEMPER DISTRIBUTORS, INC. (CHICAGO IL)

PA

10/04/1993 - 12/16/1994

FUND/PLAN BROKER SERVICES, INC. (KING OF PRUSSIA PA)

NJ

03/27/1990 - 03/09/1993

PRUDENTIAL ASSET MANAGEMENT COMPANY SECURITIES CORPORATION (NEWARK NJ)

NJ

12/10/1986 - 05/01/1992

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)

NA

08/11/1982 - 12/17/1986

SECURITY PACIFIC BROKERS, INC.

NA

08/12/1982 - 02/02/1983

SCUDDER FUND DISTRIBUTORS, INC.

Not sure if Richard Kent Mastain is right for you?

Licenses & Designations

IA

Issued 08/13/1992

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/02/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/08/1988

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/16/1988

Series 7 - General Securities Representative Examination

BC

Issued 08/11/1982

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Richard Kent Mastain.
Not sure if Richard Kent Mastain is right for you?