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655 Broad Street, Newark, NJ 07102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-04-21 |
Branch Locations
655 Broad Street, Newark, NJ 07102 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northern Lights Distributors, Llc | Omaha | NE | 12/2015 | 08/2018 |
| Copeland Capital Management, Llc | Conshohocken | PA | 11/2015 | 08/2018 |
| Northern Trust Securities, Inc. | Chicago | IL | 09/2018 | 08/2022 |
| Northern Trust Bank | Chicago | IL | 09/2018 | 08/2022 |
| Strive Asset Management, Llc | Dallas | TX | 08/2022 | 08/2024 |
| Quasar Distributors, Llc | Dallas | TX | 09/2022 | 08/2024 |
| Foreside Funds Distributors, Llc | Dallas | TX | 09/2024 | 03/2026 |
| Polen Capital Management, Llc | Dallas | TX | 08/2024 | 03/2026 |
| Pgim Global Wealth | Dallas | TX | 04/2026 | Present |
| Prudential Investment Management Services Llc | Dallas | TX | 04/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-12-11 |
| S63 | Uniform Securities Agent State Law Examination | 2012-08-06 |
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