AST INVESTMENT SERVICES, INC. of SHELTON, CT is an SEC-registered investment adviser (CRD 108897). Regulatory assets under management: $91.5B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: Charities.
Showing 25 of 77 people.
| Name | Role | Location |
|---|---|---|
| Levin Daniel | VP & DIRECTOR OF COMPLIANCE; VP, DIRECTOR OF COMPLIANCE & INVESTMENT COMMITTEE | New York, NY |
| Andrew John Donohue | CHIEF COMPLIANCE OFFICER | — |
| Scott Edward Benjamin | DIRECTOR, BOARD OF DIRECTORS; EXECUTIVE VICE PRESIDENT, DIRECTOR, BOARD OF DIRECTORS | — |
| Claudia Digiacomo | CHIEF LEGAL OFFICER; CHIEF LEGAL OFFICER, VICE PRESIDENT, SECRETARY | — |
| Frank Papasavas | TREASURER | — |
| Shawn Patrick Kirwan | CONTROLLER | — |
| Dylan John Tyson | EXECUTIVE VICE PRESIDENT, AND DIRECTOR, BOARD OF DIRECTORS; EXECUTIVE VICE PRESIDENT, DIRECTOR, BOARD OF DIRECTORS | — |
| Kenneth William Allen | CHIEF EXECUTIVE OFFICER, CHIEF OPERATING OFFICER, DIRECTOR, BOARD OF DIRECTORS; PRESIDENT, CEO, COO, OFFICER IN CHARGE, AND DIRECTOR, BOARD OF DIRECTORS; VICE PRESIDENT | — |
| Armando Capasso | CHIEF COMPLIANCE OFFICER | New York, NY |
| Patricia Elizabeth Flynn | CHIEF COMPLIANCE OFFICER | — |
| Timothy Sean Cronin | PRESIDENT, CEO, COO, OFFICER IN CHARGE, AND DIRECTOR, BOARD OF DIRECTORS | — |
| PELLETIER STEPHEN | DIRECTOR; EXECUTIVE VICE PRESIDENT & DIRECTOR | — |
| AUGSBURGER LEE DUANE | SENIOR VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | — |
| RUSSELL MICHAEL GERARD | SR. VICE PRESIDENT | — |
| MORRISON RICHARD HOWARD | SENIOR VICE PRESIDENT & SECRETARY | — |
| FLEURANT JOHN THOMAS | CONTROLLER | — |
| DONOHUE ANDREW JOHN | CHIEF COMPLIANCE OFFICER | — |
| KELLY WILLIAM JOHN | TREASURER AND VICE PRESIDENT | — |
| RICE JUDY ANN | EXECUTIVE VICE PRESIDENT & DIRECTOR; PRESIDENT, OFFICER-IN-CHARGE, CEO, COO AND DIRECTOR | — |
| JACOB BERNARD JOSEPH | TREASURER | — |
| ROSATO CHRISTOPHER DANIEL | INVESTMENT COMMITTEE | — |
| ROGERS TIMOTHY DAVID | VICE PRESIDENT | — |
| BIRCH JOHN | DIRECTOR, SENIOR VP & COO; SENIOR VP, COO & INVESTMENT COMMITTEE | — |
| GUNIA ROBERT FRANCIS | EXECUTIVE VICE PRESIDENT AND DIRECTOR; EXECUTIVE VICE PRESIDENT, CHIEF ADMINISTRATIVE OFFICER AND DIRECTOR; EXECUTIVE VICE PRESIDENT, CHIEF ADMINISTRATIVE OFFICER, AND DIRECTOR | — |
| OSBORN KEVIN BURDICK | DIRECTOR; EXECUTIVE VICE PRESIDENT AND DIRECTOR | — |
Showing 10 of 21 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-12-03 | regulatory | THE MARYLAND INSURANCE ADMINISTRATION ALLEGED VIOLATIONS OF MARYLAND ? 27-208 RESULTING FROM THE DENIAL OF AN APPLICATION FOR A TERM LIFE POLICY. | Final | $1K |
| 2024-10-28 | regulatory | THE CALIFORNIA DEPARTMENT OF INSURANCE DEPARTMENT CONDUCTED AN EXAMINATION OF PRUDENTIAL LIFE INSURANCE COMPANY OF AMERICA (PICA). THE EXAMINATION FOCUSED ON CLAIMS PROCESSING DURING THE PERIOD OF 07/01/2019 TO 06/30/2020. THE EXAMINATION REVEALED CERTAIN INSTANCES IN WHICH THE COMPANY'S PRACTICES M… | Final | $500K |
| 2024-05-30 | regulatory | THE PENNSYLVANIA INSURANCE DEPARTMENT CONDUCTED A MARKET CONDUCT EXAMINATION OF PRUDENTIAL LIFE INSURANCE COMPANY OF AMERICA (PICA). THE EXAMINATION FOCUSED ON THE GROUP INSURANCE DISABILITY AND OTHER HEALTH LINES OF BUSINESS WRITTEN BY THE COMPANY IN PENNSYLVANIA FROM 01/01/2019 THROUGH 06/01/2022.… | Final | $25K |
| 2023-01-10 | regulatory | THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (PICA) HELD A SWEEPSTAKES IN SEPTEMBER 2022 WHERE THE PRIZE WAS A FULLY PAID $25,000 WHOLE LIFE INSURANCE POLICY, WHICH WAS OPEN TO WASHINGTON CONSUMERS, AND WITHOUT ANY REQUIREMENT TO PURCHASE/RENEW OR RECEIVE SOLICITATION FROM PICA OR ANY AFFILIATE. THE… | Final | $45K |
| 2021-04-26 | regulatory | DEPARTMENT'S EXAMINATION WAS CONDUCTED TO EVALUATE THE COMPANY'S COMPLIANCE WITH VARIOUS STATUTES AND REGULATIONS, PARTICULARLY RELATING TO GUARANTEED GROUP ANNUITY CONTRACTS. THE EXAMINATION REVEALED CERTAIN INSTANCES IN WHICH THE COMPANY'S PRACTICES MAY NOT HAVE ACCORDED WITH THE COMPANY'S PROCESS… | Final | $1.2M |
| 2020-09-30 | regulatory | ILLINOIS DEPARTMENT OF INSURANCE ALLEGES PRUDENTIAL INSURANCE COMPANY OF AMERICA. NAIC 68241 AND PRUCO LIFE INSURANCE COMPANY, NAIC 79227 ("THE COMPANY") WAS NOT IN COMPLIANCE WITH THE ILLINOIS INSURANCE CODE (215 ILCS 5/1 ET SEQ.) AND DEPARTMENT REGULATIONS (50 III. ADM. CODE 101 CI SEQ.) IN VARIOU… | Final | $44K |
| 2020-08-04 | regulatory | THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, PRUDENTIAL ANNUITIES LIFE ASSURANCE CORPORATION AND PRUCO LIFE INSURANCE COMPANY (COLLECTIVELY, "PRUDENTIAL") AND THE SOUTH DAKOTA DIVISION OF INSURANCE HAVE ENTERED INTO AN AGREEMENT TO RESOLVE A MATTER IN WHICH POSITIVE ACCOUNT VALUES WERE PROVIDED ON F… | Final | $3K |
| 2019-12-19 | regulatory | THE PRUDENTIAL INSURANCE COMPANY OF AMERICA AND THE OREGON DIVISION OF FINANCIAL REGULATION HAVE ENTERED INTO AN AGREEMENT TO RESOLVE A MATTER IN WHICH CERTAIN NON-PRUDENTIAL INDIVIDUAL LIFE INSURANCE CUSTOMERS IN OREGON DID NOT RECEIVE IN A TIMELY MANNER ANNUAL STATEMENTS, WHICH WERE TO BESENT BY A… | Final | $25K |
| 2019-09-16 | regulatory | ON SEPTEMBER 16, 2019, AST INVESTMENTS SERVICES, INC. AND AN AFFILIATE (TOGETHER "AST INVESTMENTS") ENTERED INTO AN AGREEMENT WITH THE U.S. SECURITIES AND EXCHANGE COMMISSION ("SEC") TO SETTLE CHARGES RELATING TO CERTAIN SECURITIES LENDING AND FOREIGN TAX RECLAIM PRACTICES THAT AST INVESTMENTS PREVI… | Final | $5.0M |
| 2019-06-26 | regulatory | THE COMPANY DID NOT PROVIDE A TIMELY SUBMISSION OF AN ANNUAL REPORT TO THE NEVADA DEPARTMENT OF BUSINESS AND INDUSTRY, DIVISION OF INSURANCE AS REQUIRED BY NRS 683A.08528(1). | Final | $500 |