YS
Yining Shen
PGIM
NEWARK, NJ 07102
CRD#: 8020788
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YS
Yining ShenPGIM
Professional summary
Yining Shen, who also goes by Jenny Shen, is a registered financial advisor currently at PGIM, INC. located in Newark, New Jersey and PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC located in Newark, New Jersey.
Yining is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2025. Yining has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jenny Shen
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 Yining Shen'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
May 21, 2026 - Present
PGIM, INC.
Office #1: 655 Broad St., Newark, NJ 07102RIA
CRD#: 105676
NEWARK, NJ
Current
January 9, 2026 - Present
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
Office #1: 655 Broad Street, Newark, NJ 07102BD
CRD#: 18353
NEWARK, NJ
Past
May 6, 2026 - May 21, 2026
PGIM INVESTMENTS LLC
RIA
CRD#: 105670
NEWARK, NJ
Past
May 30, 2025 - December 22, 2025
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
New York, NY
Past
May 29, 2025 - December 22, 2025
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
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".
PI
PGIM, INC.
PGIM | THE PRUDENTIAL INVESTMENT CORPORATION ("PIC") | THE PRUDENTIAL INVESTMENT CORPORATION | THE PRUDENTIAL INVESTMENT CORP | STRUCTURED FINANCE GROUP ("SFG") | QUANTITATIVE MANAGEMENT ASSOCIATES LLC ("QMA") | QUANTITATIVE MANAGEMENT ("QM") | PRUDENTIAL REAL ESTATE SECURITIES INVESTORS ("PRESI") | PRUDENTIAL REAL ESTATE INVESTORS ("PREI") | PRUDENTIAL REAL ESTATE INVESTORS | PRUDENTIAL REAL ESTATE FIXED INCOME INVESTORS ("PREFII") | PRUDENTIAL PRIVATE CAPITAL | PRUDENTIAL MORTGAGE CAPITAL COMPANY | PRUDENTIAL INVESTMENTS("PI") | PRUDENTIAL INVESTMENTS ASSET MANAGEMENT GROUP ("PIAMG") | PRUDENTIAL INVESTMENT MANAGEMENT, INC. | PRUDENTIAL INVESTMENT MANAGEMENT -- FIXED INCOME | PRUDENTIAL INVESTMENT MANAGEMENT ("PIM") | PRUDENTIAL GLOBAL ASSET MANAGEMENT ("PGAM") | PRUDENTIAL FIXED INCOME MANAGEMENT | PRUDENTIAL FIXED INCOME (US) | PRUDENTIAL FIXED INCOME | PRUDENTIAL FINANCIAL, INC. ("PFI") | PRUDENTIAL CAPITAL PARTNERS | PRUDENTIAL CAPITAL GROUP ("PCG") | PRUDENTIAL CAPITAL GROUP | PRIVATE ASSET MANAGEMENT GROUP ("PAMG") | PRICOA PRIVATE CAPITAL | PRICOA INVESTMENT MANAGEMENT | PRICOA FIXED INCOME | PRICOA CAPITAL PARTNERS | PRICOA CAPITAL GROUP | PREI | PRAMERICA REAL ESTATE INVESTORS | PRAMERICA MORTGAGE CAPITAL COMPANY | PRAMERICA INVESTMENT MANAGEMENT | PRAMERICA FIXED INCOME MANAGEMENT | PRAMERICA FIXED INCOME (US) | PRAMERICA FIXED INCOME | PRAMERICA CAPITAL GROUP | PRAMERICA CAPITAL ENERGY PARTNERS | PGIM, INC. | PGIM REAL ESTATE FINANCE | PGIM REAL ESTATE | PGIM PRIVATE CAPITAL | PGIM INVESTMENTS | PGIM INSTITUTIONAL ADVISORY & SOLUTIONS (PGIM IAS) | PGIM INSTITUTIONAL ADVISORY & SOLUTIONS | PGIM GLOBAL PARTNERS | PGIM FIXED INCOME | PGIM ENERGY PARTNERS | PGIM CAPITAL PARTNERS
CRD#: 105676 / SEC#: 801-22808
RIA
Registered Investment Advisory firm - (12/7/1984 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(1/9/2026)
RR
Alaska(1/9/2026)
RR
Arizona(1/9/2026)
RR
Arkansas(1/9/2026)
RR
California(1/9/2026)
RR
Colorado(1/9/2026)
RR
Connecticut(1/9/2026)
RR
Delaware(1/9/2026)
RR
District of Columbia(1/9/2026)
RR
Florida(1/9/2026)
RR
Georgia(1/9/2026)
RR
Hawaii(1/9/2026)
RR
Idaho(1/9/2026)
RR
Illinois(1/9/2026)
RR
Indiana(1/9/2026)
RR
Iowa(1/9/2026)
RR
Kansas(1/9/2026)
RR
Kentucky(1/9/2026)
RR
Louisiana(1/9/2026)
RR
Maine(1/9/2026)
RR
Maryland(1/9/2026)
RR
Massachusetts(1/9/2026)
RR
Michigan(1/9/2026)
RR
Minnesota(1/9/2026)
RR
Mississippi(1/9/2026)
RR
Missouri(1/9/2026)
RR
Montana(1/9/2026)
RR
Nebraska(1/9/2026)
RR
Nevada(1/9/2026)
RR
New Hampshire(1/9/2026)
RR
New Jersey(1/9/2026)
IAR
New Jersey(5/21/2026)
RR
New Mexico(1/9/2026)
RR
New York(1/9/2026)
RR
North Carolina(1/9/2026)
RR
North Dakota(1/9/2026)
RR
Ohio(1/9/2026)
RR
Oklahoma(1/9/2026)
RR
Oregon(1/9/2026)
RR
Pennsylvania(1/9/2026)
RR
Rhode Island(1/9/2026)
RR
South Carolina(1/9/2026)
RR
South Dakota(1/9/2026)
RR
Tennessee(1/9/2026)
RR
Texas(1/9/2026)
RR
Utah(1/9/2026)
RR
Vermont(1/9/2026)
RR
Virginia(1/9/2026)
RR
Washington(1/9/2026)
RR
West Virginia(1/9/2026)
RR
Wisconsin(1/9/2026)
RR
Wyoming(1/9/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/29/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PI
PGIM, INC.
PGIM | THE PRUDENTIAL INVESTMENT CORPORATION ("PIC") | THE PRUDENTIAL INVESTMENT CORPORATION | THE PRUDENTIAL INVESTMENT CORP | STRUCTURED FINANCE GROUP ("SFG") | QUANTITATIVE MANAGEMENT ASSOCIATES LLC ("QMA") | QUANTITATIVE MANAGEMENT ("QM") | PRUDENTIAL REAL ESTATE SECURITIES INVESTORS ("PRESI") | PRUDENTIAL REAL ESTATE INVESTORS ("PREI") | PRUDENTIAL REAL ESTATE INVESTORS | PRUDENTIAL REAL ESTATE FIXED INCOME INVESTORS ("PREFII") | PRUDENTIAL PRIVATE CAPITAL | PRUDENTIAL MORTGAGE CAPITAL COMPANY | PRUDENTIAL INVESTMENTS("PI") | PRUDENTIAL INVESTMENTS ASSET MANAGEMENT GROUP ("PIAMG") | PRUDENTIAL INVESTMENT MANAGEMENT, INC. | PRUDENTIAL INVESTMENT MANAGEMENT -- FIXED INCOME | PRUDENTIAL INVESTMENT MANAGEMENT ("PIM") | PRUDENTIAL GLOBAL ASSET MANAGEMENT ("PGAM") | PRUDENTIAL FIXED INCOME MANAGEMENT | PRUDENTIAL FIXED INCOME (US) | PRUDENTIAL FIXED INCOME | PRUDENTIAL FINANCIAL, INC. ("PFI") | PRUDENTIAL CAPITAL PARTNERS | PRUDENTIAL CAPITAL GROUP ("PCG") | PRUDENTIAL CAPITAL GROUP | PRIVATE ASSET MANAGEMENT GROUP ("PAMG") | PRICOA PRIVATE CAPITAL | PRICOA INVESTMENT MANAGEMENT | PRICOA FIXED INCOME | PRICOA CAPITAL PARTNERS | PRICOA CAPITAL GROUP | PREI | PRAMERICA REAL ESTATE INVESTORS | PRAMERICA MORTGAGE CAPITAL COMPANY | PRAMERICA INVESTMENT MANAGEMENT | PRAMERICA FIXED INCOME MANAGEMENT | PRAMERICA FIXED INCOME (US) | PRAMERICA FIXED INCOME | PRAMERICA CAPITAL GROUP | PRAMERICA CAPITAL ENERGY PARTNERS | PGIM, INC. | PGIM REAL ESTATE FINANCE | PGIM REAL ESTATE | PGIM PRIVATE CAPITAL | PGIM INVESTMENTS | PGIM INSTITUTIONAL ADVISORY & SOLUTIONS (PGIM IAS) | PGIM INSTITUTIONAL ADVISORY & SOLUTIONS | PGIM GLOBAL PARTNERS | PGIM FIXED INCOME | PGIM ENERGY PARTNERS | PGIM CAPITAL PARTNERS
CRD#: 105676 / SEC#: 801-22808
RIA
Registered Investment Advisory firm - (12/7/1984 Approved)Loading...
Contact information
Main Address
655 Broad St., Newark, NJ 07102
Mailing Address
Phone number
(973) 367-6335
Established
Firm type
Fiscal year end
# of Employees
1,750
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 927 |
| AUM (Assets Under Management) | $ 1,033,223,779,160 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/20/2025 | ||
| 12/10/2024 | ||
| 11/20/2023 |
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.
