2015047966801 Prudential Investment Management Serivces LLC CRD 18353 AWC sl (2020-1581639568116).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047966801 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Prudential Investment Management Services LLC, Respondent Member Firm CRD No. 18353 Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Prudential Investment Management Services LLC (“PIMS,” the “Firm,” or “Respondent”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the alleged rule violations described below.

BPC

Bucket Plan Certified (BPC)

Designation Essentials
Status Currently offered and recognized by the issuing organization
Issuing Organization Clarity 2 Prosperity
Qualification and Training Requirements
Prerequisites

Candidates must have:

  • a bachelor’s degree or at least two years of industry experience;
  • a life insurance license; and
  • at least one of the following: CFA, CFP, ChFC, Series 6, Series 7, Series 63, Series 65 or Series 66.
Designation Training Requirements

Complete an introductory and an advanced e-learning course with included knowledge assessments, and attend The Bucket Plan 1.0 two-day live training program
Designation Exam Type

Proctored, closed-book, multiple-choice final exam
Continuing Education Requirements

Designation holders must attend The Bucket Plan 1.0 or The Bucket Plan 2.0 Live Training course once per calendar year.
Verification and Complaints
Online Designation Resource

Online at Find A Planner
Investor Complaint Process

Contact Clarity 2 Prosperity at (888) 240-1923 or by email at [email protected]
Published List of Disciplined Designees

None
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