PGIM, INC.
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PGIM, INC.
(CRD# 105676)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Newark, NJ.
The SEC approved the firm to operate as an RIA in
Dec 1984.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$998.5 Billion,
with discretion over
98%
of those assets.
Pooled investment vehicles (Private Funds) account for
34%
of RAUM.
Non-US investors represent
34%
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PGIM, INC.
also reported in
Mar 2019
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1422
employees,
with
1006
performing advisory functions.
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A total of 17 office locations.
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Registration with one or more foreign financial regulatory authorities.
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Operation as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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PGIM, INC. has one or more disclosure events currently on file with the SEC.
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PGIM, INC. has Notice Filings with the following State Securities Authorities:
AK-Mar 1998, AL-Mar 1998, AR-Nov 1992, AZ-Mar 1998, CA- CO-Aug 1999, CT-Apr 1998, DC-Mar 2015, DE-Jul 2003, FL-<
, GA-Apr 1989, HI-Mar 1998, IA-Jan 1999, ID-Aug 1989, IL-<
, IN-Feb 2001, KS-Jul 1989, KY-Aug 1989, LA-Oct 2001, MA-<
, MD-May 1992, ME-Jan 1998, MI-Dec 2000, MN-Mar 1990, MO-<
, MS-Oct 1997, MT-Jan 1998, NC-Dec 2000, ND-Nov 2001, NE-<
, NH-Jul 1989, NJ-Sep 1991, NM-Mar 1998, NV-Dec 1990, NY-<
, OH-Jun 1999, OK-Jan 1998, OR-Apr 1992, PA-May 1989, PR-<
, RI-Jan 1993, SC-May 1989, SD-Aug 1989, TN-Feb 1998, TX-<
, UT-Dec 1990, VA-Feb 1989, VT-Mar 1998, WA-Mar 1998, WI-<
, WV-Aug 1989, WY-Jul 2017
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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