SB
Sean M. Borella
PGIM QUANTITATIVE SOLUTIONS
Austin, TX
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CRD#: 6007271
SB
Professional summary
Sean Michael Borella is a registered financial advisor currently at PGIM QUANTITATIVE SOLUTIONS located in Austin, Texas and AQR INVESTMENTS, LLC located in Austin, Texas.
Sean is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Sean has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 3 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Sean Michael Borella'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®
NoneExperience
Current
June 29, 2017 - Present
PGIM QUANTITATIVE SOLUTIONS
RIA
CRD#: 129752
Austin, TX
Current
May 28, 2024 - Present
AQR INVESTMENTS, LLC
Office #1: Nutty Brown Business Park 12707 Nutty Brown Rd., Suite A10, Austin, TX 78737BD
CRD#: 289244
Austin, TX
Past
June 28, 2017 - January 30, 2023
PGIM INVESTMENTS LLC
RIA
CRD#: 105670
San Francisco, CA
Past
May 18, 2017 - May 22, 2024
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
San Francisco, CA
Past
September 13, 2016 - October 31, 2022
NIPUN CAPITAL, L.P.
RIA
CRD#: 159752
FOSTER CITY, CA
Past
April 20, 2015 - July 29, 2016
RS FUNDS DISTRIBUTOR LLC
BD
CRD#: 165753
SAN FRANCISCO, CA
Past
July 1, 2014 - March 2, 2015
FUTUREADVISOR, INC.
RIA
CRD#: 154604
SAN FRANCISCO, CA
Past
December 10, 2013 - June 27, 2014
WIPFLI FINANCIAL ADVISORS, LLC
RIA
CRD#: 109983
MILWAUKEE, WI
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".
PQ
PGIM QUANTITATIVE SOLUTIONS
PGIM QUANT | QUANTITATIVE MANAGEMENT ASSOCIATES LLC | QUANTITATIVE MANAGEMENT ASSOCIATES ("QMA") | QUANTITATIVE MANAGEMENT ASSOCIATES | QUANTITATIVE MANAGEMENT ("QM") | QUANTITATIVE MANAGEMENT | QMA MANAGED ACCOUNTS | QMA LLC | QMA | PRUDENTIAL INVESTMENT MANAGEMENT ("PIM") | PRUDENTIAL FINANCIAL, INC. ("PFI") | PGIM QUANTITATIVE SOLUTIONS LLC | PGIM QUANTITATIVE SOLUTIONS
CRD#: 129752 / SEC#: 801-62692
RIA
Registered Investment Advisory firm - (1/23/2004 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.RR
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
RR
Alabama(3/24/2025)
RR
Alaska(3/24/2025)
RR
Arizona(3/24/2025)
RR
Arkansas(3/24/2025)
IAR
California(6/29/2017)
RR
California(3/24/2025)
RR
Colorado(5/28/2024)
RR
Connecticut(5/28/2024)
RR
Delaware(3/24/2025)
RR
District of Columbia(3/24/2025)
RR
Florida(3/24/2025)
RR
Georgia(3/24/2025)
RR
Hawaii(3/24/2025)
RR
Idaho(3/24/2025)
RR
Illinois(5/28/2024)
RR
Indiana(5/28/2024)
RR
Iowa(5/28/2024)
RR
Kansas(5/28/2024)
RR
Kentucky(3/24/2025)
RR
Louisiana(3/24/2025)
RR
Maine(3/24/2025)
RR
Maryland(3/24/2025)
RR
Massachusetts(3/24/2025)
RR
Michigan(5/28/2024)
RR
Minnesota(5/28/2024)
RR
Mississippi(3/24/2025)
RR
Missouri(5/28/2024)
RR
Montana(5/28/2024)
RR
Nebraska(5/28/2024)
RR
Nevada(3/24/2025)
RR
New Hampshire(3/24/2025)
RR
New Jersey(3/24/2025)
RR
New Mexico(3/24/2025)
RR
New York(5/28/2024)
RR
North Carolina(3/24/2025)
RR
North Dakota(5/28/2024)
RR
Ohio(5/28/2024)
RR
Oklahoma(3/24/2025)
RR
Oregon(3/24/2025)
RR
Pennsylvania(3/24/2025)
RR
Rhode Island(3/24/2025)
RR
South Carolina(3/24/2025)
RR
South Dakota(3/24/2025)
RR
Tennessee(3/24/2025)
RR
Texas(5/28/2024)
RR
Utah(3/24/2025)
RR
Vermont(3/24/2025)
RR
Virginia(3/24/2025)
RR
Washington(3/24/2025)
RR
West Virginia(3/24/2025)
RR
Wisconsin(5/28/2024)
RR
Wyoming(3/24/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PQ
PGIM QUANTITATIVE SOLUTIONS
PGIM QUANT | QUANTITATIVE MANAGEMENT ASSOCIATES LLC | QUANTITATIVE MANAGEMENT ASSOCIATES ("QMA") | QUANTITATIVE MANAGEMENT ASSOCIATES | QUANTITATIVE MANAGEMENT ("QM") | QUANTITATIVE MANAGEMENT | QMA MANAGED ACCOUNTS | QMA LLC | QMA | PRUDENTIAL INVESTMENT MANAGEMENT ("PIM") | PRUDENTIAL FINANCIAL, INC. ("PFI") | PGIM QUANTITATIVE SOLUTIONS LLC | PGIM QUANTITATIVE SOLUTIONS
CRD#: 129752 / SEC#: 801-62692
RIA
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Contact information
Main Address
655 Broad Street, Newark, NJ 07102
Mailing Address
Phone number
(973) 367-4653
Established
Firm type
Fiscal year end
# of Employees
167
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 211 |
| AUM (Assets Under Management) | $ 111,321,543,145 |
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.
