Brian Jacobs

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CRD#: 1240138

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Brian Jacobs was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 1984. Brian had worked at 12 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 6, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

FORDHAM UNIVERSITY, GABELLI SCHOOL OF BUSINESS POSITION: Adjunct Professor NATURE: Educational Services INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 10/10/2017 ADDRESS: 140 W. 62nd Street, New York NY 10023, United States DESCRIPTION: Teach Graduate level course: Disruption in Financial. ON THE JERSEY SHORE LLC(THIS IS OUR VACATION HOUSE WE RENT FROM TIME TO TIME). POSITION: owner NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2008 ADDRESS: 701 Charnwood Drive, Wyckoff NJ 07481, United States DESCRIPTION: We rent our beach house a few weeks per summer

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 17, 2022 - May 9, 2025

PGIM INVESTMENTS LLC

RIA

CRD#: 105670

Newark, NJ

Past

May 23, 2022 - May 9, 2025

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

February 21, 2014 - October 29, 2015

FORESIDE FUND SERVICES, LLC

CRD#: 46106

NEW YORK, NY

Past

June 3, 2010 - February 28, 2012

HATTERAS INVESTMENT PARTNERS LLC

RIA

CRD#: 128703

RALEIGH, NC

Past

May 13, 2010 - February 28, 2012

HATTERAS CAPITAL DISTRIBUTORS, LLC

CRD#: 143365

RALEIGH, NC

Past

February 4, 2009 - October 28, 2009

BARON CAPITAL, INC.

CRD#: 10538

NEW YORK, NY

Past

February 24, 2003 - August 17, 2007

ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC

RIA

CRD#: 108057

STAMFORD, CT

Past

March 22, 2000 - October 27, 2008

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567

WYCKOFF, NJ

Past

February 7, 1997 - January 12, 2000

EATON VANCE DISTRIBUTORS, INC.

CRD#: 37731

BOSTON, MA

Past

November 1, 1996 - January 10, 1997

EATON VANCE DISTRIBUTORS, INC.

CRD#: 37731

BOSTON, MA

Past

March 20, 1990 - November 1, 1996

EATON VANCE DISTRIBUTORS, INC.

CRD#: 8039

BOSTON, MA

Past

January 31, 1989 - March 7, 1990

LEXINGTON FUNDS DISTRIBUTOR, INC.

CRD#: 8194

SCOTTSDALE, AZ

Past

February 23, 1984 - August 8, 1988

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PGIM INVESTMENTS LLC

PGIM INVESTMENTS LLC | PRUDENTIAL INVESTMENTS LLC | PRUDENTIAL INVESTMENTS FUND MANAGEMENT LLC

CRD#: 105670 / SEC#: 801-31104

RIA

Registered Investment Advisory firm - (12/31/1987 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/22/2022

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/11/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/20/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/8/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/21/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 12/22/2005

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/7/2000

General Securities Principal Examination

Current Firm

PGIM INVESTMENTS LLC

PGIM INVESTMENTS LLC | PRUDENTIAL INVESTMENTS LLC | PRUDENTIAL INVESTMENTS FUND MANAGEMENT LLC

CRD#: 105670 / SEC#: 801-31104

RIA

Registered Investment Advisory firm - (12/31/1987 Approved)

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Contact information

Main Address

655 Broad Street, Newark, NJ 07102

Mailing Address

Phone number

(973) 802-9908

Established

Firm type

Fiscal year end

# of Employees

490

SEC notice filing (51 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

PGIM INVESTMENTS LLC (3/26/2025)

Regulatory assets under management

Total Number of Accounts	196
AUM (Assets Under Management)	$ 322,085,635,448

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Brian Jacobs

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

FORESIDE FUND SERVICES, LLC

HATTERAS INVESTMENT PARTNERS LLC

HATTERAS CAPITAL DISTRIBUTORS, LLC

BARON CAPITAL, INC.

ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

EATON VANCE DISTRIBUTORS, INC.

EATON VANCE DISTRIBUTORS, INC.

EATON VANCE DISTRIBUTORS, INC.

LEXINGTON FUNDS DISTRIBUTOR, INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

PGIM INVESTMENTS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/22/2022

Series 65

Date: 12/11/2001

Series 63

Date: 2/20/1984

Series 7

Date: 7/8/1997

Series 6

Date: 2/21/1984

Series 51

Date: 12/22/2005

Series 24

Date: 11/7/2000

Current Firm

PGIM INVESTMENTS LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PGIM INVESTMENTS LLC

TRUST BUT VERIFY

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