Ross A. Rutman

PGIM INVESTMENTS LLC

Seattle, WA

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CRD#: 5894199

Professional summary

Ross Adam Rutman, who also goes by Ross A Rutman, is a registered financial advisor currently at PGIM INVESTMENTS LLC located in Seattle, Washington and PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC located in Valley Village, California.

Ross is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Ross has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ross A Rutman

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.

RENTAL PROPERTY POSITION: Owner of the rental property NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2019 ADDRESS: 2239 Latona Street, Philadelphia PA 19146, United States DESCRIPTION: Collecting rent, working with accountant to file taxes, manage any home repairs that may come up.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ross Adam Rutman'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®

None

Experience

Current

July 25, 2022 - Present

PGIM INVESTMENTS LLC

RIA

CRD#: 105670

Seattle, WA

Current

July 22, 2022 - Present

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

Valley Village, CA

Past

April 20, 2020 - July 20, 2022

MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST

RIA

CRD#: 105390

PHILADELPHIA, PA

Past

July 5, 2012 - April 20, 2020

DELAWARE CAPITAL MANAGEMENT ADVISERS, INC

RIA

CRD#: 152237

PHILADELPHIA, PA

Past

July 5, 2012 - July 20, 2022

DELAWARE DISTRIBUTORS, L.P.

CRD#: 14232

PHILADELPHIA, PA

Past

October 4, 2011 - May 21, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PENNINGTON, NJ

Past

July 22, 2011 - May 21, 2012

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

California
(10/17/2023)

Idaho
(7/22/2022)

Nevada
(12/5/2024)

Oregon
(7/22/2022)

Washington
(7/22/2022)

IAR

Washington
(7/25/2022)

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: 10/3/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/21/2011

General Securities Representative 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

Ross A. Rutman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ross Adam Rutman's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

MACQUARIE INVESTMENT MANAGEMENT BUSINESS TRUST

DELAWARE CAPITAL MANAGEMENT ADVISERS, INC

DELAWARE DISTRIBUTORS, L.P.

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: 10/3/2011

SIE

Date: 10/1/2018

Series 7

Date: 7/21/2011

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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