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610 Market Street, Philadelphia, PA 19106 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2022-09-26 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Prudential Insurance Company Of America | Newark | NJ | 03/2010 | 09/2020 |
| Prudential Investment Management Services Llc | Newark | NJ | 03/2010 | 09/2020 |
| Prudential Investments Llc | Newark | NJ | 04/2010 | 09/2020 |
| Ubs Securities Llc | New York | NY | 09/2020 | 06/2022 |
| Delaware Distributors, L.P. | Philadelphia | PA | 06/2022 | Present |
| Nomura Capital Management Llc | Philadelphia | PA | 06/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2009-09-18 |
| S65 | Uniform Investment Adviser Law Examination | 2008-11-13 |
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