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Shay V Patten

Pgim Investments LLC

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About Shay V Patten

Shay V Patten is an investment advisor representative with Pgim Investments Llc. Shay is a registered investment advisor in New Jersey and Pennsylvania. Shay has been in the securities industry since August 2013. Prior to joining Pgim Investments Llc, Shay was employed with Merrill Lynch, Pierce, Fenner & Smith Incorporated. Shay holds Series 66, Series 7 and SIE licenses and is associated with Prudential Investment Management Services LLC.

Firm Information

Shay Patten 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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Shay Patten’s Registration & Firm History

NJ

07/24/2019 - Present

Pgim Investments LLC (Newark NJ)

NJ

08/08/2013 - 07/06/2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PENNINGTON NJ)

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Licenses & Designations

BOTH

Issued 09/05/2013

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/07/2013

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Shay V Patten.
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