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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

ERIK RONN KIDD

Advisor at PGIM INVESTMENTS LLC

Carlsbad, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jul 22, 2002 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: Oct 4, 2001earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Oct 4, 2001
First registration: Jul 22, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 4445617

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	Dec 15, 2016	n/a	yes	Carlsbad, CA	Current employment
NEUBERGER BERMAN BD LLC	No RAUM reported	May 26, 2009	Nov 16, 2016	no	NEWPORT BEACH, CA\|DALLAS, TX\|CARLSBAD, CA\|SAN DIEGO, CA\|NEWPORT BEACH, CA	Previous registration
NEUBERGER BERMAN MANAGEMENT LLC	Former SEC adviser	Jul 7, 2006	May 22, 2009	no	NEW YORK, NY\|DALLAS, TX	Previous registration
NEUBERGER BERMAN BD LLC	No RAUM reported	Nov 9, 2004	Jul 6, 2006	no	NEW YORK, NY\|NEW YORK, NY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Dec 12, 2003	Dec 17, 2004	no	PLAINSBORO, NJ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 22, 2002	Feb 5, 2003	no	WAYNE, 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
NEUBERGER BERMAN BD LLC	PGIM INVESTMENTS LLC	Nov 16, 2016	Dec 15, 2016	29	Firm change	Other
NEUBERGER BERMAN MANAGEMENT LLC	NEUBERGER BERMAN BD LLC	May 22, 2009	May 26, 2009	4	Firm change	Other
NEUBERGER BERMAN BD LLC	NEUBERGER BERMAN MANAGEMENT LLC	Jul 6, 2006	Jul 7, 2006	1	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	NEUBERGER BERMAN BD LLC	Dec 17, 2004	Nov 9, 2004	-38	Firm change after gap	Other

Relationships

Registered with (4)

→ PGIM INVESTMENTS LLCRegistered adviserregistration: current employment
Dec 15, 2016 to presentfactForm ADV
→ NEUBERGER BERMAN BD LLCRegistered adviserregistration: previous registration
May 26, 2009 to Nov 16, 2016factForm ADV
→ NEUBERGER BERMAN MANAGEMENT LLCRegistered adviserregistration: previous registration
Jul 7, 2006 to May 22, 2009factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Dec 12, 2003 to Dec 17, 2004factForm ADV

Dated events

No dated event names this entity yet.