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Stuart Parker

Chief Executive Officer at Pgim Investments

No current adviser or broker registrationSEC record checked 17 October 2026

0
Past adviser firms
6
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Stuart Parker is Chief Executive Officer of Pgim Investments LLC, a Newark investment adviser managing $345B. Stuart Parker has passed 6 licensing exams.

Role at Pgim Investments

Title on Schedule A
Chief Executive Officer
Control
Stuart Parker is a control person of Pgim Investments.
Ownership
An individual ownership band is not available in the source record.
Tenure
Stuart Parker has held the filed role since January 2012.

The firm

Pgim Investments LLC
Newark, NJ

Form ADV filed 22 May 2026

$345B AUM44 clients97 advisers1 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Passed Series 3 · 2013
  3. Passed Series 24 · 1999
  4. Passed Series 65, Series 7 and Series 63 · 1994

Registrations and exams

No current adviser or broker registration. Stuart Parker has passed 6 qualifying exams.

Examinations

Series 6328 November 1994
Name
Uniform Securities Agent State Law Examination
Series 6520 October 1994
Name
Uniform Investment Adviser Law Examination
Series 2430 November 1999
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 310 January 2013
Name
National Commodity Futures Examination
Series 74 November 1994
Name
General Securities Representative Examination

Individual record

Full name
Stuart Sherman Parker
CRD
1767335
Firm
Pgim Investments LLC
Registration status
No current adviser or broker 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 Stuart Parker work?

Stuart Parker has been Chief Executive Officer of Pgim Investments LLC since January 2012, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 22 May 2026

Does Stuart Parker have a current investment-adviser registration?

Stuart Parker has no current investment-adviser or broker registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Stuart Parker passed?

Stuart Parker has passed 6 licensing exams: the Series 65, Series 7, Series 63, Series 24, Series 3 and SIE. The earliest, the Series 65, was passed in October 1994.

Source: IAPD individual record, checked 17 October 2026

Leadership at Pgim Investments

  • Bernard Ohara
    Chief Financial Officer
  • Joel Sauber
    Chief Operating Officer
  • Patricia Flynn
    Chief Compliance Officer
  • Brian Ahrens
    Managing Director
  • Scott Benjamin
    Managing Director
  • Claudia Digiacomo
    Chief Legal Officer

Sources

  1. IAPD individual record, CRD 1767335. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Pgim Investments LLC, filed 22 May 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 Stuart Parker or Pgim Investments LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.