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Timothy P. Flood

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CRD#: 2074476
TF

Professional summary

Timothy Patrick Flood was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Timothy is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Timothy had worked at 4 firms, which includes PRUDENTIAL EQUITY GROUP LLC, WACHOVIA SECURITIES INC., THE ROBINSON-HUMPHREY COMPANY LLC, F.N. WOLF & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tim Flood

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

September 8, 1999 - May 18, 2000

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

October 30, 1997 - September 20, 1999

WACHOVIA SECURITIES, INC.

BD
CRD#: 431
CHARLOTTE, NC
Past

June 10, 1991 - October 27, 1997

THE ROBINSON-HUMPHREY COMPANY, LLC

BD
CRD#: 723
ATLANTA, GA
Past

August 16, 1990 - February 1, 1991

F.N. WOLF & CO., INC.

BD
CRD#: 13051

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
IAR
Series 65
Date: 5/28/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/31/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 2/20/1992
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 8/14/1990
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.

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Company Information

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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