NK
Nicholas A. Kelly
PGIM INVESTMENTS LLC
Newark, NJ 07102
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CRD#: 6021720
NK
Professional summary
Nicholas Alexander Kelly, who also goes by Nicholas A Kelly, Nicholas Kelly, 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.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Nicholas has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicholas A Kelly | Nicholas Kelly
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.
POND5 INC. POSITION: Music creator NATURE: Retail Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2019 ADDRESS: 251 Park Avenue South, 7th Floor, New York NY 10010, United States DESCRIPTION: Creating royalty-free music
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Alexander Kelly'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
April 4, 2014 - Present
PGIM INVESTMENTS LLC
Office #1: 655 Broad Street Prudential Tower, Newark, NJ 07102RIA
CRD#: 105670
Newark, NJ
Current
March 28, 2014 - Present
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
Office #1: 655 Broad Street, Newark, NJ 07102BD
CRD#: 18353
Newark, NJ
Past
June 8, 2012 - June 17, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
FLORHAM PARK, NJ
Past
March 23, 2012 - June 17, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
FLORHAM PARK, NJ
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.
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(12/7/2016)
RR
Alaska(12/7/2016)
RR
Arizona(12/7/2016)
RR
Arkansas(12/7/2016)
RR
California(1/23/2015)
RR
Colorado(12/7/2016)
RR
Connecticut(12/7/2016)
RR
Delaware(12/7/2016)
RR
District of Columbia(12/7/2016)
RR
Florida(12/7/2016)
RR
Georgia(12/7/2016)
RR
Hawaii(12/7/2016)
RR
Idaho(12/7/2016)
RR
Illinois(12/7/2016)
RR
Indiana(12/7/2016)
RR
Iowa(12/7/2016)
RR
Kansas(12/7/2016)
RR
Kentucky(12/7/2016)
RR
Louisiana(12/7/2016)
RR
Maine(12/7/2016)
RR
Maryland(12/7/2016)
RR
Massachusetts(12/7/2016)
RR
Michigan(12/7/2016)
RR
Minnesota(12/7/2016)
RR
Mississippi(12/7/2016)
RR
Missouri(12/7/2016)
RR
Montana(12/7/2016)
RR
Nebraska(12/7/2016)
RR
Nevada(12/7/2016)
RR
New Hampshire(12/7/2016)
RR
New Jersey(3/28/2014)
IAR
New Jersey(4/4/2014)
RR
New Mexico(12/7/2016)
RR
New York(3/28/2014)
RR
North Carolina(12/7/2016)
RR
North Dakota(12/7/2016)
RR
Ohio(12/7/2016)
RR
Oklahoma(12/7/2016)
RR
Oregon(12/7/2016)
RR
Pennsylvania(12/7/2016)
RR
Rhode Island(12/7/2016)
RR
South Carolina(12/7/2016)
RR
South Dakota(12/7/2016)
RR
Tennessee(12/7/2016)
RR
Texas(12/7/2016)
RR
Utah(12/7/2016)
RR
Vermont(12/7/2016)
RR
Virginia(12/7/2016)
RR
Washington(12/7/2016)
RR
West Virginia(12/7/2016)
RR
Wisconsin(12/7/2016)
RR
Wyoming(12/7/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
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)Upgrade to AdvisorCheck Premium
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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)
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.
