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Roger Anthony Day

Prudential Annuities Distributors, Inc.

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About Roger Anthony Day

Roger Anthony Day is a financial professional with over 20 years of experience in the industry. Roger is currently registered with Prudential Annuities Distributors, Inc. in Shelton, CT. Previously, Roger has held positions at a number of firms including PRUCO Securities, LLC., Ameriprise Financial Services, Inc., and Charles Schwab & Co., Inc. Roger holds a Series 7, Series 63, and SIE license.

Firm Information

Roger Day is currently registered with Prudential Annuities Distributors, Inc.. Prudential Annuities Distributors, Inc. is a corporation formed in September 1987. It is registered in all 50 states, the District of Columbia, and Puerto Rico, as well as with the SEC. The firm has been the subject of 2 regulatory events and 1 civil event.

Not reported

Assets Under Management

Not reported

Total Clients

554

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.

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Roger Day’s Registration & Firm History

CT

04/01/2020 - Present

Prudential Annuities Distributors, Inc. (SHELTON CT)

MN

10/14/2014 - 04/01/2020

PRUCO SECURITIES, LLC. (PLYMOUTH MN)

MN

02/04/2011 - 06/04/2014

AMERIPRISE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)

MN

05/05/2008 - 05/28/2009

QUESTAR CAPITAL CORPORATION (MINNEAPOLIS MN)

MN

01/01/2007 - 04/18/2008

RIVERSOURCE DISTRIBUTORS, INC. (MINNEAPOLIS MN)

MN

05/12/2004 - 01/01/2007

AMERIPRISE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)

MN

05/12/2004 - 07/03/2006

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

TX

01/28/2000 - 07/16/2002

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

NY

08/26/1997 - 10/23/1998

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

MI

04/13/1993 - 08/06/1997

OLDE DISCOUNT CORPORATION (DETROIT MI)

MN

02/11/1992 - 10/28/1992

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)

MN

02/11/1992 - 10/28/1992

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

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Licenses & Designations

BC

Issued 04/02/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/24/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Roger Anthony Day. Review regulatory record here.
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