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JE

Jonathan B. Estes

Some features on this profile are disabled
CRD#: 5527683
JE

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.

Jonathan Blake Estes, CIMA®, who also goes by Blake Estes, J Blake Estes, was a registered financial professional .

Jonathan is a previously registered financial professional and started their career in finance in 2008. Jonathan had worked at 8 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Blake Estes | J Blake Estes

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)

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®
CIMA®

Certified Investment Management Analyst

Experience

Past

September 30, 2022 - April 28, 2026

PGIM INVESTMENTS LLC

RIA
CRD#: 105670
Columbus, OH
Past

September 30, 2022 - April 28, 2026

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

BD
CRD#: 18353
NEWARK, NJ
Past

August 10, 2016 - September 20, 2022

GUGGENHEIM INVESTMENTS

RIA
CRD#: 105477
COLUMBUS, OH
Past

August 4, 2016 - September 20, 2022

GUGGENHEIM FUNDS DISTRIBUTORS, LLC

BD
CRD#: 39805
CHICAGO, IL
Past

May 7, 2014 - August 9, 2016

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BD
CRD#: 30107
BOSTON, MA
Past

February 5, 2014 - April 15, 2014

GBI CAPITAL, INC.

BD
CRD#: 166424
NEW YORK, NY
Past

July 6, 2009 - October 14, 2011

MORGAN STANLEY

RIA
CRD#: 149777
CINCINNATI, OH
Past

July 1, 2009 - October 14, 2011

MORGAN STANLEY

BD
CRD#: 149777
CINCINNATI, OH
Past

June 25, 2008 - March 16, 2009

WADDELL & REED

RIA
CRD#: 866
CINCINNATI, OH
Past

June 11, 2008 - March 16, 2009

WADDELL & REED

BD
CRD#: 866
CINCINNATI, OH

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".
PI
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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/15/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 11/5/2009
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 6/10/2008
General Securities Representative Examination

Current Firm

PI
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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

PGIM INVESTMENTS LLC (3/26/2025)

Regulatory assets under management

Total Number of Accounts196
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.

Company Information

PGIM INVESTMENTS LLC

CRD#: 105670

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