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Investment Adviser Firm Summary

PGIM, INC. (CRD# 105676 / SEC# 801-22808)
Alternate Names: PGIM , PGIM FIXED INCOME , PGIM GLOBAL PARTNERS , PGIM INSTITUTIONAL ADVISORY & SOLUTIONS (PGIM IAS) , PGIM INVESTMENTS , PGIM REAL ESTATE , PGIM REAL ESTATE FINANCE , PGIM, INC. , PRAMERICA CAPITAL ENERGY PARTNERS , PRAMERICA CAPITAL GROUP , PRAMERICA FIXED INCOME , PRAMERICA FIXED INCOME (US) , PRAMERICA FIXED INCOME MANAGEMENT , PRAMERICA INVESTMENT MANAGEMENT , PRAMERICA MORTGAGE CAPITAL COMPANY , PRAMERICA REAL ESTATE INVESTORS , PREI , PRICOA CAPITAL GROUP , PRICOA CAPITAL PARTNERS , PRICOA FIXED INCOME , PRICOA INVESTMENT MANAGEMENT , PRIVATE ASSET MANAGEMENT GROUP ("PAMG") , PRUDENTIAL CAPITAL GROUP , PRUDENTIAL CAPITAL GROUP ("PCG") , PRUDENTIAL CAPITAL PARTNERS , PRUDENTIAL FINANCIAL, INC. ("PFI") , PRUDENTIAL FIXED INCOME , PRUDENTIAL FIXED INCOME (US) , PRUDENTIAL FIXED INCOME MANAGEMENT , PRUDENTIAL GLOBAL ASSET MANAGEMENT ("PGAM") , PRUDENTIAL INVESTMENT MANAGEMENT ("PIM") , PRUDENTIAL INVESTMENT MANAGEMENT -- FIXED INCOME , PRUDENTIAL INVESTMENT MANAGEMENT, INC. , PRUDENTIAL INVESTMENTS ASSET MANAGEMENT GROUP ("PIAMG") , PRUDENTIAL INVESTMENTS("PI") , PRUDENTIAL MORTGAGE CAPITAL COMPANY , PRUDENTIAL REAL ESTATE FIXED INCOME INVESTORS ("PREFII") , PRUDENTIAL REAL ESTATE INVESTORS , PRUDENTIAL REAL ESTATE INVESTORS ("PREI") , PRUDENTIAL REAL ESTATE SECURITIES INVESTORS ("PRESI") , QUANTITATIVE MANAGEMENT ("QM") , QUANTITATIVE MANAGEMENT ASSOCIATES LLC ("QMA") , STRUCTURED FINANCE GROUP ("SFG") , THE PRUDENTIAL INVESTMENT CORP , THE PRUDENTIAL INVESTMENT CORPORATION , THE PRUDENTIAL INVESTMENT CORPORATION ("PIC")

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 12/07/1984

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
Alabama 03/27/1998
Alaska 03/20/1998
Arizona 03/16/1998
Arkansas 11/12/1992
California 02/23/1990
Colorado 08/24/1999
Connecticut 04/02/1998
Delaware 07/31/2003
District of Columbia 03/30/2015
Florida 04/07/1989
Georgia 04/20/1989
Hawaii 03/09/1998
Idaho 08/22/1989
Illinois 04/04/1990
Indiana 02/08/2001
Iowa 01/01/1999
Kansas 07/18/1989
Kentucky 08/14/1989
Louisiana 10/15/2001
Maine 01/01/1998
Maryland 05/04/1992
Massachusetts 03/30/2015
Michigan 12/19/2000
Minnesota 03/07/1990
Mississippi 10/13/1997
Missouri 04/12/1990
Montana 01/01/1998
Nebraska 03/30/2015
Nevada 12/10/1990
New Hampshire 07/13/1989
New Jersey 09/15/1991
New Mexico 03/10/1998
New York 11/02/1988
North Carolina 12/19/2000
North Dakota 11/05/2001
Ohio 06/22/1999
Oklahoma 01/01/1998
Oregon 04/06/1992
Pennsylvania 05/22/1989
Rhode Island 01/01/1993
South Carolina 05/03/1989
South Dakota 08/16/1989
Tennessee 02/25/1998
Texas 09/30/1988
Utah 12/10/1990
Vermont 03/11/1998
Virginia 02/13/1989
Washington 03/10/1998
West Virginia 08/15/1989
Wisconsin 03/19/1998
Wyoming 07/18/2017

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