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Joseph Louis Thomas

Pgim Investments LLC

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About Joseph Louis Thomas

Joseph Louis Thomas is a financial advisor with over 20 years of experience in the financial services industry. Joseph is currently registered with PGIM Investments LLC. Joseph has held various roles at a number of firms. Previously, Joseph was registered with Invesco Distributors, Inc. and Van Kampen Funds Inc. Joseph holds the Series 6, Series 7, Series 63, and Series 65 licenses and has passed the SIE exam.

Firm Information

Joseph Thomas is currently registered with Pgim Investments LLC. Pgim Investments LLC is an investment advisor registered with the SEC. The firm has 144 licensed agents, 67 investment adviser representatives, 230 registered representatives, and 96 employees who perform investment advisory functions. The firm's regulatory assets under management total $315,351,503,018, with $315,351,503,018 being discretionary. The firm primarily provides advisory services to sponsors of wrap account platforms, investment companies, and business development companies.
Pgim Investments LLC

655 BROAD STREET

NEWARK, NJ 07102

$315.35B

Assets Under Management

8

Total Clients

75

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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performance-based fees

Fees calculated based on the performance of your investments relative to a benchmark.

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Joseph Thomas’s Registration & Firm History

CA

09/20/2011 - Present

Pgim Investments LLC (San Marcos CA)

TX

06/01/2010 - 09/02/2011

INVESCO DISTRIBUTORS, INC. (HOUSTON TX)

TX

10/21/1998 - 06/01/2010

VAN KAMPEN FUNDS INC. (HOUSTON TX)

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Licenses & Designations

IA

Issued 04/17/2001

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 09/02/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/13/1999

Series 7 - General Securities Representative Examination

BC

Issued 10/20/1998

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Joseph Louis Thomas.
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