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AST INVESTMENT SERVICES, INC.

SHELTON, CT · CRD 108897 · IAPD ↗ · prudential.com · 1-800-225-1852

$91.47BRegulatory AUM
9Advisory reps
42Employees
0Clients
n/aPlanning clients
0Private funds
51States
28Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

45
April 2026 — AST INVESTMENT SERVICES, INC. shrank from 12 to 9 advisory reps.
Advisory representative count fell materially — advisors are moving, or the firm is shrinking.
Recruiting & transitionsM&A & valuation
45
February 2026 — AST INVESTMENT SERVICES, INC.'s Item 11 disclosure-reporting entries rose by 1 (31 -> 32).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
45
July 2024 — AST INVESTMENT SERVICES, INC.'s Item 11 disclosure-reporting entries rose by 3 (30 -> 33).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
45
April 2024 — AST INVESTMENT SERVICES, INC.'s Item 11 disclosure-reporting entries rose by 26 (4 -> 30).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.