Terrence R. Sprague
Professional summary
Terrence Richard Sprague was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Terrence is a previously registered financial advisor and started their career in finance in 1989. Prior to being barred, Terrence had worked at 6 firms, which includes PRUDENTIAL EQUITY GROUP LLC, PIPER SANDLER & CO., U.S. BANCORP INVESTMENTS INC., UBS FINANCIAL SERVICES INC., CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2000 - October 8, 2002
PRUDENTIAL EQUITY GROUP, LLC
October 11, 1999 - October 8, 2002
PRUDENTIAL EQUITY GROUP, LLC
November 16, 1998 - October 22, 1999
PIPER SANDLER & CO.
July 24, 1998 - November 16, 1998
U.S. BANCORP INVESTMENTS, INC.
February 9, 1994 - March 13, 1998
UBS FINANCIAL SERVICES INC.
July 31, 1993 - February 28, 1994
CITIGROUP GLOBAL MARKETS INC.
May 23, 1989 - July 31, 1993
LEHMAN BROTHERS 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
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