Laurie L. Chan

PGIM INVESTMENTS LLC

Newark, NJ 07102

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CRD#: 4435591

Professional summary

Laurie L Chan, CFP®, who also goes by Laurie L. Chan, Laurie Li-ting Chan, Laurie L Chan, is a registered financial advisor currently at PGIM INVESTMENTS LLC located in Newark, New Jersey and PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC located in Newark, New Jersey.

Laurie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Laurie has worked at 6 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Laurie L. Chan | Laurie Li-Ting Chan | Laurie L Chan

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Laurie L Chan's CRS (Customer Relationship Summary).

Certified licenses

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

CFP^®

Certified Financial Planner

Experience

Current

August 28, 2024 - Present

PGIM INVESTMENTS LLC

Office #1: 655 Broad Street, Newark, NJ 07102

RIA

CRD#: 105670

Newark, NJ

Current

June 7, 2024 - Present

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

Office #1: 655 Broad Street, Newark, NJ 07102

CRD#: 18353

Newark, NJ

Past

August 8, 2022 - June 30, 2010

CITI PRIVATE ALTERNATIVES, LLC

RIA

CRD#: 153777

New York, NY

Past

August 8, 2022 - March 1, 2024

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

New York, NY

Past

August 8, 2022 - March 1, 2024

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

New York, NY

Past

August 8, 2022 - March 1, 2024

CITI PRIVATE ALTERNATIVES, LLC

CRD#: 153777

New York, NY

Past

May 18, 2009 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

April 7, 2008 - July 5, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

January 27, 2006 - July 5, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(6/7/2024)

Alaska
(6/7/2024)

Arizona
(6/7/2024)

Arkansas
(6/7/2024)

California
(6/7/2024)

Colorado
(6/7/2024)

Connecticut
(6/7/2024)

Delaware
(6/7/2024)

District of Columbia
(6/7/2024)

Florida
(6/7/2024)

Georgia
(6/7/2024)

Hawaii
(6/7/2024)

Idaho
(6/7/2024)

Illinois
(6/7/2024)

Indiana
(6/7/2024)

Iowa
(6/7/2024)

Kansas
(6/7/2024)

Kentucky
(6/7/2024)

Louisiana
(6/7/2024)

Maine
(6/7/2024)

Maryland
(6/7/2024)

Massachusetts
(6/7/2024)

Michigan
(6/7/2024)

Minnesota
(6/7/2024)

Mississippi
(6/7/2024)

Missouri
(6/7/2024)

Montana
(6/7/2024)

Nebraska
(6/7/2024)

Nevada
(6/7/2024)

New Hampshire
(6/7/2024)

New Jersey
(6/7/2024)

IAR

New Jersey
(8/28/2024)

New Mexico
(6/7/2024)

New York
(6/7/2024)

North Carolina
(6/7/2024)

North Dakota
(6/7/2024)

Ohio
(6/7/2024)

Oklahoma
(6/7/2024)

Oregon
(6/7/2024)

Pennsylvania
(6/7/2024)

Rhode Island
(6/7/2024)

South Carolina
(6/7/2024)

South Dakota
(6/7/2024)

Tennessee
(6/7/2024)

Texas
(6/7/2024)

Utah
(6/7/2024)

Vermont
(6/7/2024)

Virginia
(6/7/2024)

Washington
(6/7/2024)

West Virginia
(6/7/2024)

Wisconsin
(6/7/2024)

Wyoming
(6/7/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/27/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/26/2008

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 1/26/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/27/2020

General Securities Principal Examination

SRO Registrations

FINRA

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

Laurie L. Chan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Laurie L Chan's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CITI PRIVATE ALTERNATIVES, LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITI PRIVATE ALTERNATIVES, LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

PGIM INVESTMENTS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/27/2008

SIE

Date: 10/1/2018

Series 31

Date: 8/26/2008

Series 7

Date: 1/26/2006

Series 24

Date: 10/27/2020

FINRA

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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