Maxwell H. Bloom
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.
Maxwell Harrison Bloom was a registered financial advisor .
Maxwell is a previously registered financial advisor and started their career in finance in 1970. Maxwell had worked at 4 firms and has passed the PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 1998 - November 18, 2002
PRUDENTIAL EQUITY GROUP, LLC
April 19, 1995 - November 18, 2002
PRUDENTIAL EQUITY GROUP, LLC
September 4, 1990 - May 4, 1995
WELLS FARGO CLEARING SERVICES, LLC
May 15, 1984 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
May 24, 1979 - May 30, 1984
PRUDENTIAL EQUITY GROUP, LLC
November 14, 1972 - June 25, 1979
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
July 29, 1970 - December 18, 1972
THOMSON MCKINNON SECURITIES 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
PC
Date: 6/26/1995
AMEX Put and Call ExamSeries 1
Date: 4/4/1968
Registered Representative ExaminationCurrent 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.
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