PRUDENTIAL FINANCIAL PLANNING SERVICES
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PRUDENTIAL FINANCIAL PLANNING SERVICES
(CRD# 5685)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Newark, NJ.
The SEC approved the firm to operate as an RIA in
Jun 1996.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$6.5 Billion,
with discretion over
3%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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PRUDENTIAL FINANCIAL PLANNING SERVICES
also reported in
Mar 2019
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2600
employees,
with
2400
performing advisory functions.
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A total of 114 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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PRUDENTIAL FINANCIAL PLANNING SERVICES has one or more disclosure events currently on file with the SEC.
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PRUDENTIAL FINANCIAL PLANNING SERVICES has Notice Filings with the following State Securities Authorities: AK-Apr 1997, AL-Feb 1997, AR-Jan 1997, AZ-Mar 2012, CA-Jul 1997
, CO-Jan 1999, CT-Nov 1997, DC-Jan 1997, DE-Aug 2003, FL-Jul 1986
, GA-Oct 1996, HI-Jul 1997, IA-Jan 1999, ID-Jan 1997, IL-Dec 1996
, IN-Feb 2001, KS-Dec 1997, KY-Dec 2001, LA-Oct 2001, MA-Mar 2012
, MD-Oct 1997, ME-Feb 1997, MI-Dec 1999, MN-Oct 1996, MO-Mar 1997
, MS-Oct 1997, MT-Feb 1997, NC-Feb 2001, ND-May 2000, NE-Jul 1997
, NH-Mar 1997, NJ-Dec 1997, NM-Jan 1997, NV-Jan 1997, NY-Feb 1996
, OH-Apr 1999, OK-Jan 1998, OR-Mar 2012, PA-Nov 2001, RI-Jan 1993
, SC-Feb 2001, SD-Dec 1996, TN-Oct 1997, TX-Mar 1983, UT-Mar 1998
, VA-Jan 1997, VT-Jan 1997, WA-Nov 1996, WI-Nov 1996, WV-Jan 1997
, 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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