Gabriele T. Smith
Professional summary
Gabriele Tamar Smith was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Gabriele is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Gabriele had worked at 3 firms, which includes PRUDENTIAL EQUITY GROUP LLC, MORGAN STANLEY DW INC., ON-SITE TRADING INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 31, 2001 - November 7, 2001
PRUDENTIAL EQUITY GROUP, LLC
November 25, 1997 - June 11, 2001
MORGAN STANLEY DW INC.
November 5, 1997 - December 11, 1997
ON-SITE TRADING, 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
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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