PRUDENTIAL SELECT STRATEGIES LLC of NEWARK, NJ is an SEC-registered investment adviser (CRD 286153). Regulatory assets under management: $22.8B.
Compensation: % of AUM.
Clients served: Pooled vehicles, Charities, Investment cos.
Showing 25 of 43 people.
| Name | Role | Location |
|---|---|---|
| Vinti Khanna | PRESIDENT AND CHAIRPERSON | New York, NY |
| Patricia Elizabeth Flynn | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| Andrew Peter Hughes | CHIEF LEGAL OFFICER | — |
| Brian Anthony Piperi | CHIEF FINANCIAL OFFICER | — |
| FLYNN PATRICIA ELIZABETH | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| BEGUN ROBERT | CHIEF SUPERVISORY OFFICER | — |
| BURNS SCOTT JOHN | TREASURER | — |
| STIMPFL BRIAN JOHN | VICE PRESIDENT, COO AND MEMBER BOARD OF MANAGERS | — |
| MCELYNN ANTHONY LAWRENCE | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| SCHMIDT DONALD LEE | PRESIDENT AND CHAIRPERSON | — |
| AGARWAL NAVEEN | PRESIDENT; PRESIDENT, MEMBER BOARD OF MANAGERS | — |
| HYNES PATRICK LIAM | PRESIDENT AND MEMBER BOARD OF MANAGERS | — |
| KELLEY JENNIFER LYNNE | CHIEF COMPLIANCE OFFICER | — |
| HUGHES JEFFREY PETER | CHIEF LEGAL OFFICER | — |
| CHUPAK JASON ROBERT | TREASURER | — |
| GAYLE PETER CASEY | MEMBER BOARD OF MANAGERS; VICE PRESIDENT | — |
| MCOWEN MICHAEL SEAN | VICE PRESIDENT | — |
| SHARP DAVID SCOTT | VICE PRESIDENT; VICE PRESIDENT, MEMBER BOARD OF MANAGERS | — |
| SIEB JOHN EDWARD | CONTROLLER; TREASURER | — |
| METCALF ROCKELL CARVERN | SECRETARY | — |
| IBRAHIM HASAN | CHIEF LEGAL OFFICER | — |
| FONTANO ANTHONY MICHAEL | MEMBER BOARD OF MANAGERS | — |
| MCFARLAND GEORGIA CAROLINE | CHIEF COMPLIANCE OFFICER | — |
| SHAPIRO ROBERT SETH | SECRETARY | — |
| DIVILEK SONALI | VICE PRESIDENT, COO AND MEMBER BOARD OF MANAGERS | — |
Showing 10 of 19 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-12-03 | regulatory | THE MARYLAND INSURANCE ADMINISTRATION ALLEGED VIOLATIONS OF MARYLAND ? 27-208 RESULTING FROM THE DENIAL OF AN APPLICATION FOR A TERM LIFE POLICY. | Final | $1K |
| 2024-05-30 | regulatory | THE PENNSYLVANIA INSURANCE DEPARTMENT CONDUCTED A MARKET CONDUCT EXAMINATION OF PRUDENTIAL LIFE INSURANCE COMPANY OF AMERICA (PICA). THE EXAMINATION FOCUSED ON THE GROUP INSURANCE DISABILITY AND OTHER HEALTH LINES OF BUSINESS WRITTEN BY THE COMPANY IN PENNSYLVANIA FROM 01/01/2019 THROUGH 06/01/2022.… | Final | $25K |
| 2023-01-10 | regulatory | THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (PICA) HELD A SWEEPSTAKES IN SEPTEMBER 2022 WHERE THE PRIZE WAS A FULLY PAID $25,000 WHOLE LIFE INSURANCE POLICY, WHICH WAS OPEN TO WASHINGTON CONSUMERS, AND WITHOUT ANY REQUIREMENT TO PURCHASE/RENEW OR RECEIVE SOLICITATION FROM PICA OR ANY AFFILIATE. THE… | Final | $45K |
| 2021-04-26 | regulatory | DEPARTMENT'S EXAMINATION WAS CONDUCTED TO EVALUATE THE COMPANY'S COMPLIANCE WITH VARIOUS STATUTES AND REGULATIONS, PARTICULARLY RELATING TO GUARANTEED GROUP ANNUITY CONTRACTS. THE EXAMINATION REVEALED CERTAIN INSTANCES IN WHICH THE COMPANY'S PRACTICES MAY NOT HAVE ACCORDED WITH THE COMPANY'S PROCESS… | Final | $1.2M |
| 2020-09-30 | regulatory | ILLINOIS DEPARTMENT OF INSURANCE ALLEGES PRUDENTIAL INSURANCE COMPANY OF AMERICA. NAIC 68241 AND PRUCO LIFE INSURANCE COMPANY, NAIC 79227 ("THE COMPANY") WAS NOT IN COMPLIANCE WITH THE ILLINOIS INSURANCE CODE (215 ILCS 5/1 ET SEQ.) AND DEPARTMENT REGULATIONS (50 III. ADM. CODE 101 CI SEQ.) IN VARIOU… | Final | $44K |
| 2020-08-04 | regulatory | THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, PRUDENTIAL ANNUITIES LIFE ASSURANCE CORPORATION AND PRUCO LIFE INSURANCE COMPANY (COLLECTIVELY, "PRUDENTIAL") AND THE SOUTH DAKOTA DIVISION OF INSURANCE HAVE ENTERED INTO AN AGREEMENT TO RESOLVE A MATTER IN WHICH POSITIVE ACCOUNT VALUES WERE PROVIDED ON F… | Final | $3K |
| 2019-12-19 | regulatory | THE PRUDENTIAL INSURANCE COMPANY OF AMERICA AND THE OREGON DIVISION OF FINANCIAL REGULATION HAVE ENTERED INTO AN AGREEMENT TO RESOLVE A MATTER IN WHICH CERTAIN NON-PRUDENTIAL INDIVIDUAL LIFE INSURANCE CUSTOMERS IN OREGON DID NOT RECEIVE IN A TIMELY MANNER ANNUAL STATEMENTS, WHICH WERE TO BE SENT BY… | Final | $25K |
| 2019-06-26 | regulatory | THE COMPANY DID NOT PROVIDE A TIMELY SUBMISSION OF AN ANNUAL REPORT TO THE NEVADA DEPARTMENT OF BUSINESS AND INDUSTRY, DIVISION OF INSURANCE AS REQUIRED BY NRS 683A.08528(1). | Final | $500 |
| 2019-05-23 | regulatory | ON SEPTEMBER 24, 2019, A CONSENT ORDER BETWEEN THE NY DEPARTMENT OF FINANCIAL SERVICES AND PICA WAS EXECUTED. THE MATTER RELATED TO THE INADEQUATE DISCLOSURES FOR DEFERRED-TO-IMMEDIATE ANNUITY REPLACEMENTS. A FINE WAS ASSESSED IN THE AMOUNT OF $35,000; RESTITUTION IS ESTIMATED TO BE $14,020. | Final | $35K |
| 2018-09-27 | regulatory | THE COMPANY DID NOT PROVIDE A TIMELY AND COMPLETE RESPONSE TO AN INQUIRY FROM THE DIVISION OF INSURANCE. | Final | $500 |