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CC

Carmen R. Caro

Some features on this profile are disabled
CRD#: 1949991
CC

Professional summary

Carmen R. Caro was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Carmen is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Carmen had worked at 4 firms, which includes PRUDENTIAL EQUITY GROUP LLC, BROOKSTREET SECURITIES CORPORATION, R.K. GRACE & COMPANY, MORGAN STANLEY DW INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Carmen Rosario Caro | Rosario Caro | Carmen R Caro Nazario | Carmen R Caronazario | Carmen Rosarito

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 23, 2002 - November 7, 2002

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

September 23, 1999 - June 25, 2002

BROOKSTREET SECURITIES CORPORATION

BD
CRD#: 14667
SAN JUAN CAPISTRANO, CA
Past

August 21, 1997 - October 22, 1999

R.K. GRACE & COMPANY

BD
CRD#: 35203
MIAMI, FL
Past

June 20, 1989 - August 8, 1997

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/21/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/17/1989
General Securities Representative Examination

Current Firm

PE
PRUDENTIAL EQUITY GROUP, LLC
BACHE HALSEY STUART SHIELDS INCORPORATED | WWW.PRUDENTIAL.COM | PRUDENTIAL-BACHE SECURITIES INC. | PRUDENTIAL SECURITIES INCORPORATED | PRUDENTIAL EQUITY GROUP, LLC | PRUDENTIAL EQUITY GROUP, INC.

CRD#: 7471 / SEC#: , 8-27154

BD
Terminated by SEC on 01/18/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 02/02/2004
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PRUDENTIAL SECURITIES GROUP INC.["PSGI"] PARENT OF PRUDENTIAL EQUITY GROUP, LLCSHAREHOLDER DIRECT
BAVARO, MARGUERITE ANNECHIEF OPERATIONS OFFICER722294
DUGAN, MICHAEL JOSEPHCHIEF FINANCIAL OFFICER AND CHIEF ADMINISTRATIVE OFFICER1604211
RICE, JUDY ANNMANAGER67215
SHEA, MICHAEL JOSEPHMANAGER, CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER1014613
STRANGFELD, JOHN ROBERT JRMANAGER & CHAIRMAN OF THE BOARD1301812

Disclosures

Regulatory Event288
Civil Event1
Arbitration579

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.

Company Information

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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