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Current Employers
Pgim Investments Llc

655 Broad Street, Newark, NJ 07102 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2010-08-19
  • NJ RA
    APPROVED
    Since 2010-08-19

Branch Locations

New City, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Pgim Investments,Llc Newark NJ 08/2010 Present
Prudential Investment Management Services Llc Newark NJ 08/2010 Present
Pgim Investments,Llc Newark NJ 08/2010 Present
  • 08/2010 → Present
    Pgim Investments,Llc
    Newark, NJ
  • 08/2010 → Present
    Prudential Investment Management Services Llc
    Newark, NJ
  • 08/2010 → Present
    Pgim Investments,Llc
    Newark, NJ
Previous Registrations
  • 2010-05-10 → 2010-07-01
    Forest Hills, NY
    Boca Raton, FL
  • 2009-05-15 → 2010-03-17
    Chase Investment Services Corp.
    Astoria, NY
    Astoria, NY
    Astoria, NY
    Plainview, NY
    Astoria, NY
    Long Island City, NY
    Flushing, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-05-12
S63 Uniform Securities Agent State Law Examination 2007-02-17
  • S65 Uniform Investment Adviser Law Examination
    2009-05-12
  • S63 Uniform Securities Agent State Law Examination
    2007-02-17

View on SEC IAPD

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