Brijesha S. Makwana
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.
Brijesha Shah Makwana, who also goes by Brijesha S Makwana, Brijesha Narendra Shah, Brijesha Narendra Shah, was a registered financial professional .
Brijesha is a previously registered financial professional and started their career in finance in 2004. Brijesha had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2015 - May 10, 2018
PGIM INVESTMENTS LLC
February 6, 2015 - May 7, 2018
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
October 1, 2012 - January 7, 2015
NEUBERGER BERMAN BD LLC
August 21, 2012 - January 7, 2015
NEUBERGER BERMAN BD LLC
October 10, 2011 - January 13, 2012
CAREY FINANCIAL, LLC
January 1, 2010 - July 6, 2011
INVESCO ADVISERS, INC.
January 29, 2009 - January 1, 2010
INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.
January 8, 2009 - July 6, 2011
INVESCO DISTRIBUTORS, INC.
January 9, 2006 - November 17, 2008
BNY MELLON SECURITIES CORPORATION
April 1, 2005 - December 31, 2005
BNY MELLON SECURITIES CORPORATION
April 1, 2005 - November 17, 2008
BNY MELLON SECURITIES CORPORATION
June 25, 2004 - March 28, 2005
MORGAN STANLEY DW INC.
May 10, 2004 - March 28, 2005
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
PGIM INVESTMENTS LLC
CRD#: 105670 / SEC#: 801-31104
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PGIM INVESTMENTS LLC
CRD#: 105670 / SEC#: 801-31104
Contact information
SEC notice filing (51 States and Territories)
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.
