Daryl F. Dworkin
Professional summary
Daryl Frank Dworkin was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Daryl is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Daryl had worked at 3 firms, which includes PRUDENTIAL EQUITY GROUP LLC, BISHOP ALLEN INC., KENSINGTON WELLS INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 1996 - February 24, 1997
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1995 - August 18, 1995
BISHOP, ALLEN, INC.
April 24, 1995 - August 2, 1995
KENSINGTON WELLS INCORPORATED
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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