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SA

Spyridon G. Adondakis

Some features on this profile are disabled
CRD#: 2418579
SA

Professional summary

Spyridon George Adondakis was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Spyridon is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Spyridon had worked at 3 firms, which includes PRUDENTIAL EQUITY GROUP LLC, BROADVIEW INTERNATIONAL LLC, SIGNATOR FINANCIAL SERVICES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sam Adondakis

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

April 24, 2002 - June 13, 2006

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
SAN FRANCISCO, CA
Past

June 28, 2000 - July 11, 2001

BROADVIEW INTERNATIONAL LLC

BD
CRD#: 27265
NEW YORK, NY
Past

October 24, 1996 - June 30, 1997

SIGNATOR FINANCIAL SERVICES, INC.

BD
CRD#: 19061
BOSTON, MA
Past

December 16, 1993 - October 7, 1996

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, 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: 8/2/2000
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/23/1993
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 87
Date: 9/28/2004
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 8/26/2004
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 6/27/2000
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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