PGIM INVESTMENTS LLC of NEWARK, NJ is an SEC-registered investment adviser (CRD 105670). Regulatory assets under management: $344.8B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Performance.
Clients served: Pooled vehicles, Charities.
Showing 25 of 58 people.
| Name | Role | Location |
|---|---|---|
| Andrew John Donohue | CHIEF COMPLIANCE OFFICER | — |
| Scott Edward Benjamin | EXECUTIVE VICE PRESIDENT; MANAGING DIRECTOR | — |
| Claudia Digiacomo | CHIEF LEGAL OFFICER; CHIEF LEGAL OFFICER, EXECUTIVE VICE PRESIDENT, SECRETARY | — |
| Armando Capasso | CHIEF COMPLIANCE OFFICER | Baltimore, MD |
| Patricia Elizabeth Flynn | CHIEF COMPLIANCE OFFICER | — |
| Bernard Gerard Ohara | CHIEF FINANCIAL OFFICER; EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, CONTROLLER | — |
| Stuart Sherman Parker | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER, PRESIDENT, OFFICER-IN-CHARGE | — |
| Joel Roger Sauber | CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | — |
| Brian Karl Ahrens | MANAGING DIRECTOR; SENIOR VICE PRESIDENT | — |
| PELLETIER STEPHEN | EXECUTIVE VICE PRESIDENT | — |
| BUCKLEY KEVIN | TREASURER | — |
| AUGSBURGER LEE DUANE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| RUSSELL MICHAEL GERARD | SR. VICE PRESIDENT | — |
| MORRISON RICHARD HOWARD | SENIOR VICE PRESIDENT AND SECRETARY | — |
| DONOHUE ANDREW JOHN | CHIEF COMPLIANCE OFFICER | — |
| TANJI KENNETH YUTAKA | EVP, CFO AND TREASURER | — |
| CARTER JOHN LAUGHLIN | EXECUTIVE VICE PRESIDENT | — |
| RICE JUDY ANN | CHAIRMAN; EXECUTIVE VICE PRESIDENT; OFFICER-IN-CHARGE, CHIEF EXECUTIVE OFFICER, CHIEF OPERATING OFFICER & PRESIDENT | — |
| GUNIA ROBERT FRANCIS | EXEC. V.P. & CHIEF ADMIN. OFFICER | — |
| OSBORN KEVIN BURDICK | EXECUTIVE VICE PRESIDENT | — |
| QUIRK KATHRYN LORETTA | EXEC. V.P., SECRETARY & CHIEF LEGAL OFFICER | — |
| MASTER DAVID BRET | DIRECTOR OF STRATEGIC INITIATIVES | — |
| WARMAN KENNETH EDWARD | CFO, TREASURER AND CONTROLLER | — |
| DRAHZAL JOHN NOEL | DIRECTOR OF SALES AND DISTRIBUTION | — |
| ODENATH DAVID ROEHNER | PRESIDENT, CEO & COO | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-09-16 | regulatory | ON SEPTEMBER 16, 2019, PGIM INVESTMENTS LLC AND AN AFFILIATE (TOGETHER "PGIM INVESTMENTS") ENTERED INTO AN AGREEMENT WITH THE U.S. SECURITIES AND EXCHANGE COMMISSION ("SEC") TO SETTLE CHARGES RELATING TO CERTAIN SECURITIES LENDING AND FOREIGN TAX RECLAIM PRACTICES THAT PGIM INVESTMENTS PREVIOUSLY SE… | Final | $5.0M |