PGIM INVESTMENTS LLC
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PGIM INVESTMENTS LLC
(CRD# 105670)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Newark, NJ.
The SEC approved the firm to operate as an RIA in
Dec 1987.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$273.1 Billion,
with discretion over
100%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
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PGIM INVESTMENTS LLC
also reported in
Mar 2019
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440
employees,
with
99
performing advisory functions.
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A total of 2 office locations.
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No registrations with 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 INVESTMENTS LLC has no disclosure events reported to the SEC at this time.
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PGIM INVESTMENTS LLC has Notice Filings with the following State Securities Authorities:
AZ-Mar 2015, CA-Aug 1999, CT-Mar 2009, FL-Aug 1999, IL-Apr 20
, IN-Jan 2010, MA-Jan 2000, MO-Aug 1999, NJ-Aug 1999, OH-Aug 2
, PA-Aug 1999, TN-Aug 2000, TX-Oct 1999, VA-Jan 2010, WI-Mar 2
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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
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SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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