at


Investment Adviser Firm Summary

PGIM INVESTMENTS LLC (CRD# 105670 / SEC# 801-31104)
Alternate Names: PGIM INVESTMENTS LLC , PRUDENTIAL INVESTMENTS FUND MANAGEMENT LLC , PRUDENTIAL INVESTMENTS LLC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 12/31/1987

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Arizona 03/27/2015
California 08/23/1999
Connecticut 03/31/2009
Florida 08/30/1999
Illinois 04/02/2014
Indiana 01/26/2010
Massachusetts 01/01/2000
Missouri 08/23/1999
New Jersey 08/24/1999
Ohio 08/25/2000
Pennsylvania 08/23/1999
Tennessee 08/23/2000
Texas 10/13/1999
Virginia 01/04/2010
Wisconsin 03/28/2013

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser