Robert T. Mcmahon
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.
Robert Thomas Mcmahon was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1972. Robert had worked at 10 firms and has passed the Series 63, PC, Series 000 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
May 14, 1987 - June 20, 1991
PRUDENTIAL EQUITY GROUP, LLC
September 27, 1978 - October 17, 1979
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
February 24, 1978 - November 27, 1978
MORGAN STANLEY DW INC.
May 14, 1976 - February 24, 1978
REYNOLDS SECURITIES, INC.
April 14, 1975 - June 11, 1976
RAYMOND JAMES & ASSOCIATES, INC.
January 10, 1975 - August 23, 1978
MCCORMICK & CO., INCORPORATED
July 19, 1973 - January 20, 1975
STIX & CO., INC.
November 16, 1972 - August 7, 1973
WZW FINANCIAL SERVICES, INC.
July 6, 1972 - December 16, 1972
STIFEL, NICOLAUS & COMPANY, INCORPORATED
June 24, 1972 - May 11, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
PC
Date: 7/1/1979
AMEX Put and Call ExamSeries 000
Date: 6/24/1972
General Securities Principal ExaminationSeries 1
Date: 6/24/1972
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
