Career
Joel Sauber has been Chief Operating Officer of PGIM Investments since December 2023. Joel Sauber is a control person of the firm and directly owns under 5% of it.
PGIM Investments LLC is a Newark, NJ firm with $345B under management, 44 clients and 97 advisers in one office, as of its May 2026 filing.
No adviser firm registrations are on Joel Sauber’s record.
Credentials and registrations
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 53 | Municipal Securities Principal Examination | 22 July 2002 |
| Series 24 | General Securities Principal Examination | 25 August 1998 |
| Series 7 | General Securities Representative Examination | 14 May 1998 |
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Joel Roger Sauber
- CRD
- 3035443
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Joel Sauber work?
Joel Sauber has been Chief Operating Officer of PGIM Investments LLC since December 2023, and is a control person of the firm.
Does Joel Sauber have a current investment-adviser registration?
Joel Sauber has a current broker registration and no current investment-adviser registration.
What exams has Joel Sauber passed?
Joel Sauber has passed 3 licensing exams: the Series 7, Series 24 and Series 53. The earliest, the Series 7, was passed in May 1998. FINRA credited Joel Sauber with the SIE, which began in October 2018.