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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)21 years in industry

Laurie Chan

Advisor at PGIM INVESTMENTS LLC

NEWARK, NJ

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Search this name across graphsid dfx:ria:6f0a7ea6-5fd3-b73e-93a2-c1817906e83f

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Apr 7, 2008 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: PGIM INVESTMENTS LLC
Current firm class: asset managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 1, 2005earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Mar 27, 2008
First registration: Apr 7, 2008
Dual registered: yes, broker-dealer
Other names: LAURIE LI-TING CHAN|LAURIE L. CHAN|Laurie L Chan
IAPD individual key: 4435591

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PGIM INVESTMENTS LLC	Asset manager	Mar 4, 2026	n/a	yes	NEWARK, NJ	Current employment
CITI PRIVATE ADVISORY, LLC	Former SEC adviser	Aug 8, 2022	Jun 30, 2010	no	TAMPA, FL\|New York, NY	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Aug 8, 2022	Mar 1, 2024	no	TAMPA, FL\|New York, NY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 7, 2008	Jul 5, 2022	no	NEW YORK, NY\|BOSTON, MA\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|NEW YORK, NY\|PENNINGTON, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CITIGROUP GLOBAL MARKETS INC.	PGIM INVESTMENTS LLC	Mar 1, 2024	Mar 4, 2026	733	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CITI PRIVATE ADVISORY, LLC	Jul 5, 2022	Aug 8, 2022	34	Firm change	Other
CITI PRIVATE ADVISORY, LLC	CITIGROUP GLOBAL MARKETS INC.	Jun 30, 2010	Aug 8, 2022	4,422	Bulk transfer	Other

Relationships

Registered with (4)

→ PGIM INVESTMENTS LLCRegistered adviserregistration: current employment
Mar 4, 2026 to presentfactForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Aug 8, 2022 to Mar 1, 2024factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Apr 7, 2008 to Jul 5, 2022factForm ADV
→ CITI PRIVATE ADVISORY, LLCRegistered adviserregistration: previous registration
Aug 8, 2022 to Jun 30, 2010factForm ADV

Dated events

Occurred
Mar 1, 2024
Advisor changed firm
Laurie Chan left Citigroup Global Markets Inc. for Pgim Investments Llc (registered 2026-03-04)
Form ADVobserved 5 days ago
Occurred
Jul 5, 2022
Advisor changed firm
Laurie Chan left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Citi Private Advisory, Llc (registered 2022-08-08)
Form ADVobserved 5 days ago