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Brad Blalock

Director at Pgim Limited

Broker registration; no current adviser registrationSEC record checked 17 October 2026

1
Past adviser firms
5
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Brad Blalock is Director of Pgim Limited, a London investment adviser managing $76.5B. Brad Blalock has a current broker registration and no current investment-adviser registration and has passed 5 licensing exams.

Role at Pgim Limited

Title on Schedule A
Director
Control
Brad Blalock is a control person of Pgim Limited.
Ownership
An individual ownership band is not available in the source record.
Tenure
Brad Blalock has held the filed role since December 2025.

The firm

Pgim Limited
London,

Form ADV filed 25 August 2026

$76.5B AUM274 clients146 advisers2 offices

Career on record

Firms and exams, newest first
  1. Passed Series 24, Series 3 and SIE · 2018
  2. Lockwell Investments, LLC
    – · 3 years
    New York, NY · Adviser representative · Firm CRD 150393
  3. Passed Series 7 · 2009
  4. Passed Series 63 · 2007

Registrations and exams

Broker registration; no current adviser registration. Brad Blalock has passed 5 qualifying exams.

Examinations

Series 6317 May 2007
Name
Uniform Securities Agent State Law Examination
Series 2416 March 2018
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 37 September 2018
Name
National Commodity Futures Examination
Series 78 January 2009
Name
General Securities Representative Examination

Individual record

Full name
Brad Alan Blalock
CRD
2973154
Firm
Pgim Limited
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Brad Blalock work?

Brad Blalock has been Director of Pgim Limited since December 2025, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 25 August 2026

Does Brad Blalock have a current investment-adviser registration?

Brad Blalock has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Brad Blalock passed?

Brad Blalock has passed 5 licensing exams: the Series 63, Series 7, Series 24, Series 3 and SIE. The earliest, the Series 63, was passed in May 2007.

Source: IAPD individual record, checked 17 October 2026

Where was Brad Blalock previously registered as an investment adviser?

Brad Blalock has past investment-adviser registrations through Lockwell Investments, LLC, November 2010 to May 2013, across 1 firm.

Source: IAPD individual record, checked 17 October 2026

Leadership at Pgim Limited

Sources

  1. IAPD individual record, CRD 2973154. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Pgim Limited, filed 25 August 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Brad Blalock or Pgim Limited and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.