James Schlaier

PGIM INVESTMENTS LLC

Birmingham, AL

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CRD#: 6534881

Professional summary

James Schlaier, who also goes by James C Schlaier, is a registered financial advisor currently at PGIM INVESTMENTS LLC located in Birmingham, Alabama and PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC located in Newark, New Jersey.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. James has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James C Schlaier

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 James Schlaier'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

December 3, 2018 - Present

PGIM INVESTMENTS LLC

RIA

CRD#: 105670

Birmingham, AL

Current

November 20, 2018 - Present

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

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

CRD#: 18353

Newark, NJ

Past

July 18, 2018 - October 25, 2018

PFS INVESTMENTS INC.

CRD#: 10111

CRANFORD, NJ

Past

January 31, 2017 - June 22, 2018

ERNST & YOUNG INVESTMENT ADVISERS LLP

RIA

CRD#: 110921

SECAUCUS, NJ

Past

July 30, 2015 - August 3, 2016

NATIONAL SECURITIES CORPORATION

CRD#: 7569

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
(9/20/2019)

Alaska
(9/20/2019)

Arizona
(9/20/2019)

Arkansas
(9/20/2019)

California
(9/20/2019)

Colorado
(9/20/2019)

Connecticut
(9/20/2019)

Delaware
(9/20/2019)

District of Columbia
(9/20/2019)

Florida
(9/20/2019)

Georgia
(9/20/2019)

Hawaii
(9/20/2019)

Idaho
(9/20/2019)

Illinois
(9/20/2019)

Indiana
(9/20/2019)

Iowa
(9/20/2019)

Kansas
(9/20/2019)

Kentucky
(9/20/2019)

Louisiana
(9/20/2019)

Maine
(9/20/2019)

Maryland
(9/20/2019)

Massachusetts
(9/20/2019)

Michigan
(9/20/2019)

Minnesota
(9/20/2019)

Mississippi
(9/20/2019)

Missouri
(9/20/2019)

Montana
(9/20/2019)

Nebraska
(9/20/2019)

Nevada
(9/20/2019)

New Hampshire
(9/20/2019)

New Jersey
(11/20/2018)

IAR

New Jersey
(12/3/2018)

New Mexico
(9/20/2019)

New York
(9/20/2019)

North Carolina
(9/20/2019)

North Dakota
(9/20/2019)

Ohio
(9/20/2019)

Oklahoma
(6/19/2019)

Oregon
(9/20/2019)

Pennsylvania
(9/20/2019)

Puerto Rico
(9/20/2019)

Rhode Island
(9/20/2019)

South Carolina
(9/20/2019)

South Dakota
(9/20/2019)

Tennessee
(9/20/2019)

Texas
(11/20/2018)

Utah
(9/20/2019)

Vermont
(9/20/2019)

Virginia
(9/20/2019)

Washington
(9/20/2019)

West Virginia
(9/20/2019)

Wisconsin
(9/20/2019)

Wyoming
(9/20/2019)

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 65

Date: 12/12/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/3/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/30/2015

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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Firm Stability Insights

James Schlaier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Schlaier's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

PFS INVESTMENTS INC.

ERNST & YOUNG INVESTMENT ADVISERS LLP

NATIONAL SECURITIES CORPORATION

Primary Firm SEC Registration

PGIM INVESTMENTS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/12/2016

Series 63

Date: 9/3/2015

SIE

Date: 10/1/2018

Series 7

Date: 7/30/2015

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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