FacultyFaculty/Author Profile

James Huang

Prudential Financial, Inc.
Vice President & Corporate Counsel
Newark, NJ, USA


James is a Vice President and Corporate Counsel in the Prudential Law Department. He advises his clients on a broad range of matters related to Prudential’s retail investment advisory business including wrap fee program design, brokerage practices, sales practice issues, policies and procedures, regulatory exams and inquiries, and Form ADV requirements.

Additionally, James has experience in advising retail broker/dealers and variable insurance product distributors on product design, mergers and acquisitions, clearing arrangements, distribution and wholesaling arrangements, cash and non-cash compensation plans, FINRA exams, and sales in the retirement market.     

Prior to joining Prudential, James was a Senior Counsel in the Broker-Dealer/Investment Adviser Unit of the MetLife Law Department and an Assistant Corporate Counsel and Compliance Officer at the Marsh & McLennan Companies.  James has served as a speaker and a moderator on discussion panels, including those sponsored by the Practicing Law Institute and the Money Management Institute. James is a member of the New York and Massachusetts Bars. He is a graduate of the New England School of Law in Boston, where he was a Jacqueline Lloyd Scholar and an editor of the New England Law Review, and New York University, where he earned his B.A. in Politics and was in the Honors Politics Program.
James Huang is associated with the following items:
Web Segment  Web Segment Broker-Dealer Supervisory Themes - Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Thursday, February 08, 2018
MP3 Audio  MP3 Audio Broker-Dealer Supervisory Themes - Broker-Dealer Supervisory Themes, Thursday, February 08, 2018
Transcripts  Transcripts Broker-Dealer Supervisory Themes - Broker-Dealer Supervisory Themes, Thursday, February 08, 2018
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Broker-Dealer Supervisory Themes - Broker-Dealer Supervisory Themes, Thursday, February 08, 2018
On-Demand Web Programs  On-Demand Web Programs Broker-Dealer Retail Wealth Management 2018: Current Legal and Compliance Issues Facing Dual Registrants, Wednesday, February 14, 2018, New York, NY
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