CL
Collin Lockwood
PGIM INVESTMENTS LLC
Newark, NJ 07102
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CRD#: 6959355
CL
Professional summary
Collin Lockwood 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.
Collin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Collin has worked at 3 firms and has passed the Series 66, Series 7TO and SIE 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 Collin Lockwood'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 25, 2024 - Present
PGIM INVESTMENTS LLC
Office #1: 655 Broad Street, Newark, NJ 07102RIA
CRD#: 105670
Newark, NJ
Current
April 23, 2024 - Present
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
Office #1: 655 Broad Street, Newark, NJ 07102BD
CRD#: 18353
Newark, NJ
Past
February 15, 2023 - July 13, 2023
PGIM INVESTMENTS LLC
RIA
CRD#: 105670
Newark, NJ
Past
February 14, 2023 - July 13, 2023
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
NEWARK, NJ
Past
April 5, 2022 - January 30, 2023
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
MANASQUAN, NJ
Past
January 15, 2022 - January 30, 2023
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
MANASQUAN, 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(4/23/2024)
RR
Alaska(4/23/2024)
RR
Arizona(4/23/2024)
RR
Arkansas(4/23/2024)
RR
California(4/23/2024)
RR
Colorado(4/23/2024)
RR
Connecticut(4/23/2024)
RR
Delaware(4/23/2024)
RR
District of Columbia(4/23/2024)
RR
Florida(4/23/2024)
RR
Georgia(4/23/2024)
RR
Hawaii(4/23/2024)
RR
Idaho(4/23/2024)
RR
Illinois(4/23/2024)
RR
Indiana(4/23/2024)
RR
Iowa(4/23/2024)
RR
Kansas(4/23/2024)
RR
Kentucky(4/23/2024)
RR
Louisiana(4/23/2024)
RR
Maine(4/23/2024)
RR
Maryland(4/23/2024)
RR
Massachusetts(4/23/2024)
RR
Michigan(4/23/2024)
RR
Minnesota(4/23/2024)
RR
Mississippi(4/23/2024)
RR
Missouri(4/23/2024)
RR
Montana(4/23/2024)
RR
Nebraska(4/23/2024)
RR
Nevada(4/23/2024)
RR
New Hampshire(4/23/2024)
RR
New Jersey(4/23/2024)
IAR
New Jersey(4/25/2024)
RR
New Mexico(4/23/2024)
RR
New York(4/23/2024)
RR
North Carolina(4/23/2024)
RR
North Dakota(4/23/2024)
RR
Ohio(4/23/2024)
RR
Oklahoma(4/23/2024)
RR
Oregon(4/23/2024)
RR
Pennsylvania(4/23/2024)
RR
Rhode Island(4/23/2024)
RR
South Carolina(4/23/2024)
RR
South Dakota(4/23/2024)
RR
Tennessee(4/23/2024)
RR
Texas(4/23/2024)
RR
Utah(4/23/2024)
RR
Vermont(4/23/2024)
RR
Virgin Islands(7/31/2025)
RR
Virginia(4/23/2024)
RR
Washington(4/23/2024)
RR
West Virginia(4/23/2024)
RR
Wisconsin(4/23/2024)
RR
Wyoming(4/23/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/15/2022
General Securities Representative ExaminationGeneral 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.
