Gene H. Wortsman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gene H Wortsman was a registered financial professional .
Gene is a previously registered financial professional and started their career in finance in 1986. Gene had worked at 9 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 26, 1996 - February 26, 1999
PRUDENTIAL EQUITY GROUP, LLC
October 18, 1993 - December 2, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 9, 1989 - November 10, 1993
CITIGROUP GLOBAL MARKETS INC.
February 14, 1989 - February 28, 1989
ANDREW ALEN SECURITIES, INC.
November 17, 1988 - February 21, 1989
ALLIED CAPITAL GROUP, INC.
May 31, 1988 - November 17, 1988
KOBER FINANCIAL CORP.
January 27, 1987 - June 4, 1988
GRAYSTONE NASH, INC.
January 2, 1987 - November 4, 1987
J. W. GANT & ASSOCIATES, INC.
July 23, 1986 - January 2, 1987
MICHELIN AND COMPANY, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PRUDENTIAL EQUITY GROUP, LLC
CRD#: 7471 / SEC#: , 8-27154
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRUDENTIAL SECURITIES GROUP INC.["PSGI"] PARENT OF PRUDENTIAL EQUITY GROUP, LLC | SHAREHOLDER DIRECT | |
| BAVARO, MARGUERITE ANNE | CHIEF OPERATIONS OFFICER | 722294 |
| DUGAN, MICHAEL JOSEPH | CHIEF FINANCIAL OFFICER AND CHIEF ADMINISTRATIVE OFFICER | 1604211 |
| RICE, JUDY ANN | MANAGER | 67215 |
| SHEA, MICHAEL JOSEPH | MANAGER, CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER | 1014613 |
| STRANGFELD, JOHN ROBERT JR | MANAGER & CHAIRMAN OF THE BOARD | 1301812 |
Disclosures
| Regulatory Event | 288 |
| Civil Event | 1 |
| Arbitration | 579 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
