DFX Intelligence

RIA Intelligence

Advisor moves

Arrivals at Pgim Investments LLC

A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.

Advisor	From	To	Type	Left	Registered
Joseph Anthony Grande	Msi Financial Services, Inc. other	Pgim Investments LLC other	Other	Jul 13, 2015	Oct 27, 2015 (106 d)
James Robert Rensman	Guggenheim Investments other	Pgim Investments LLC other	Other	May 4, 2015	May 12, 2015
Robert Michael Angelo	Blackrock Financial Management, Inc other	Pgim Investments LLC other	Other	Mar 10, 2015	Apr 10, 2015 (31 d)
Giuseppe Riggi	Equitable Advisors, LLC national BD	Pgim Investments LLC other	Other	Dec 9, 2014	Mar 12, 2015 (93 d)
Anthony Michael Bernard	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Pgim Investments LLC other	Other	Nov 21, 2014	Mar 12, 2015 (111 d)
Michael P Walsh	Wbi Investments, LLC other	Pgim Investments LLC other	Other	Mar 27, 2014	Mar 12, 2015 (350 d)
Douglas James Mcclelland	Morgan Stanley wirehouse	Pgim Investments LLC asset manager	Other	Oct 23, 2013	May 22, 2026 (4594 d)
Joseph Felice	Santander Securities other	Pgim Investments LLC other	Other	Oct 11, 2013	Oct 17, 2013
Gregory Scott Stevens	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Pgim Investments LLC other	Other	Oct 8, 2013	Oct 22, 2013
Elias Padron	Neuberger Berman Bd LLC other	Pgim Investments LLC other	Other	Oct 2, 2013	Oct 17, 2013
Ryan Shea	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Pgim Investments LLC other	Other	Mar 14, 2013	Apr 11, 2013
Jon Ferraiolo	Northwestern Mutual Investment Services,LLC other	Pgim Investments LLC other	Other	Mar 1, 2013	Jun 7, 2013 (98 d)
Bradley John Hargrave	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Pgim Investments LLC other	Other	Jul 30, 2012	Aug 10, 2012
John Norris Obannon	Akre Capital Management, LLC other	Pgim Investments LLC other	Other	Feb 29, 2012	Mar 13, 2012
Eric Snyder	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Pgim Investments LLC other	Other	Dec 5, 2011	Dec 14, 2011
Eric John Studer	Guggenheim Investments other	Pgim Investments LLC other	Other	Sep 19, 2011	Dec 14, 2011 (86 d)
Joseph Louis Thomas	Invesco Advisers, Inc. other	Pgim Investments LLC other	Other	Sep 2, 2011	Sep 20, 2011
John Frank Rosellini	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Pgim Investments LLC other	Other	Aug 31, 2011	Sep 19, 2011
John Campbell Yackel	Fortigent, LLC other	Pgim Investments LLC other	Other	May 26, 2011	Jul 20, 2011 (55 d)
Robert James Fetzner	Amundi Pioneer Institutional Asset Management, Inc. other	Pgim Investments LLC other	Other	May 20, 2011	Jul 5, 2011 (46 d)
Robert G Matala	Russell Investments other	Pgim Investments LLC other	Other	Dec 23, 2010	Apr 26, 2012 (490 d)
Nelson Pennington Scott	Equitable Advisors, LLC national BD	Pgim Investments LLC other	Other	Dec 17, 2010	Dec 14, 2011 (362 d)
Harry T Rakovski	Nfsg Corporation other	Pgim Investments LLC other	Other	Jul 1, 2010	Aug 19, 2010 (49 d)
Anthony Wisner Miller	Columbia Management Investment Advisers, LLC other	Pgim Investments LLC other	Other	Jun 10, 2010	Jul 1, 2010
Henry John Tallardy	Chase Investment Services Corp. other	Pgim Investments LLC other	Other	May 24, 2010	Dec 15, 2010 (205 d)
Lindsey Cain Bulger	Envestnet Portfolio Solutions, Inc. other	Pgim Investments LLC other	Other	Mar 19, 2010	Apr 23, 2010 (35 d)
Jonathan Thomas Koss	Morgan Stanley wirehouse	Pgim Investments LLC other	Other	Jan 6, 2010	Jan 10, 2012 (734 d)
Paul William Lee Woodford	Bofa Advisors, LLC other	Pgim Investments LLC other	Other	Nov 9, 2009	Jan 12, 2010 (64 d)
Scott Dutcher	Bofa Advisors, LLC other	Pgim Investments LLC other	Other	Nov 9, 2009	Dec 22, 2009 (43 d)
Carlos Manuel Noriega	Equitable Advisors, LLC national BD	Pgim Investments LLC other	Other	Nov 2, 2009	Jan 31, 2011 (455 d)
Adam Matthew Magsig	Clearbridge Investments, LLC other	Pgim Investments LLC asset manager	Other	Sep 29, 2009	Aug 6, 2025 (5790 d)
Stephen Bartholomew Luethi	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Pgim Investments LLC other	Other	Jul 31, 2009	Feb 2, 2010 (186 d)
Anthony Lawrence Bettano	Bofa Advisors, LLC other	Pgim Investments LLC asset manager	Other	Nov 14, 2008	Nov 5, 2025 (6200 d)
Philip Michael Scioli	J.P. Morgan Investment Management Inc. other	Pgim Investments LLC other	Other	Oct 10, 2008	Jan 21, 2010 (468 d)
Allison Marie Straub	Amundi Pioneer Institutional Asset Management, Inc. other	Pgim Investments LLC other	Other	Oct 3, 2008	Nov 13, 2008 (41 d)
Gregory Anthony Ratto	Bofa Advisors, LLC other	Pgim Investments LLC other	Other	Aug 5, 2008	Sep 12, 2008 (38 d)
Edward Joseph Tribble	Manulife Investment Management (US) LLC other	Pgim Investments LLC other	Other	Jul 21, 2008	Jan 26, 2010 (554 d)
Patrick Joseph Mcginty	Bny Mellon Securities Corporation other	Pgim Investments LLC other	Other	Apr 9, 2008	May 8, 2008
Joseph Frank Ferraro	Ryan Beck & Co. unclassified	Pgim Investments LLC other	Other	Mar 22, 2007	Apr 17, 2007
Eric Scott Koford	Invesco Aim Private Asset Management, Inc. unclassified	Pgim Investments LLC other	Other	Aug 3, 2006	Sep 27, 2006 (55 d)
Lisa Celeste Hallaian	Manulife Investment Management (US) LLC other	Pgim Investments LLC other	Other	Jun 5, 2006	Aug 15, 2006 (71 d)
Michael Anthony Saldutti	Ast Investment Services, Inc. other	Pgim Investments LLC other	Other	May 3, 2006	Jun 6, 2006 (34 d)
Ivan Joshua Weiner	Pgim, Inc. other	Pgim Investments LLC other	Other	Dec 17, 2004	Oct 8, 2004
Katie Gitlin Ward	Pgim, Inc. other	Pgim Investments LLC other	Other	Dec 17, 2004	Nov 29, 2004
Linda Ann Marschke	Pgim, Inc. other	Pgim Investments LLC other	Other	Jul 12, 2004	Jul 9, 2004
Patricia Lynn Brady	American Skandia Advisory Services, Inc. unclassified	Pgim Investments LLC other	Other	Feb 11, 2004	Feb 27, 2004
William David Hatton	Quick & Reilly, Inc. unclassified	Pgim Investments LLC other	Other	Jan 29, 2004	Apr 14, 2004 (76 d)
Joseph B Rowan	Lincoln Financial Distributors, Inc. unclassified	Pgim Investments LLC other	Other	Jan 7, 2004	Feb 26, 2004 (50 d)
Amy Alisia Lawler	American Skandia Advisory Services, Inc. unclassified	Pgim Investments LLC other	Other	Dec 17, 2003	Mar 19, 2004 (93 d)
Philip Conger Adams	American Skandia Advisory Services, Inc. unclassified	Pgim Investments LLC other	Other	Dec 16, 2003	Mar 19, 2004 (94 d)
Michael Joseph Steelman	UBS Financial Services Inc. wirehouse	Pgim Investments LLC other	Other	Oct 15, 2003	Oct 31, 2003
Manesha Lakhiani	Deutsche Bank Securities Inc. other	Pgim Investments LLC other	Other	Sep 5, 2003	Nov 7, 2003 (63 d)
Janet Louise Mariconti- Shabman	Neuberger Berman Bd LLC other	Pgim Investments LLC other	Other	Sep 20, 2002	Jan 24, 2003 (126 d)
Gaye Clarke Lampert	Deutsche Bank Securities Inc. other	Pgim Investments LLC other	Other	Jul 12, 2002	Sep 5, 2002 (55 d)
Edward Devon Spaulding	J. & W. Seligman & Co. Incorporated unclassified	Pgim Investments LLC other	Other	Apr 30, 2002	Jan 11, 2005 (987 d)

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115 moves match.