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James Schlaier

Pgim Investments LLC

Birmingham, AL

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Current Employers
Pgim Investments Llc

655 Broad Street, Newark, NJ 07102 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2018-12-03
  • NJ RA
    APPROVED
    Since 2018-12-03

Branch Locations

Birmingham, AL • 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
Ey Secaucus NJ 09/2016 06/2018
Pfs Investments Inc Cranford NJ 07/2018 10/2018
Primerica Financial Services Cranford NJ 05/2018 10/2018
Pgim Investments,Llc Birmingham AL 11/2018 Present
Prudential Investment Management Services Llc Birmingham AL 11/2018 Present
Pgim Investments,Llc Birmingham AL 11/2018 Present
  • 09/2016 → 06/2018
    Ey
    Secaucus, NJ
  • 07/2018 → 10/2018
    Pfs Investments Inc
    Cranford, NJ
  • 05/2018 → 10/2018
    Primerica Financial Services
    Cranford, NJ
  • 11/2018 → Present
    Pgim Investments,Llc
    Birmingham, AL
  • 11/2018 → Present
    Prudential Investment Management Services Llc
    Birmingham, AL
  • 11/2018 → Present
    Pgim Investments,Llc
    Birmingham, AL
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-12-12
S63 Uniform Securities Agent State Law Examination 2015-09-03
  • S65 Uniform Investment Adviser Law Examination
    2016-12-12
  • S63 Uniform Securities Agent State Law Examination
    2015-09-03
Other Names
  • James C Schlaier

View on SEC IAPD

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