John S. Pettibone
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.
John Samuel Pettibone JR was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1967. John had worked at 6 firms and has passed the Series 65, Series 63, Series 15, Series 5, PC, Series 1, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 1993 - January 6, 2000
PRUDENTIAL EQUITY GROUP, LLC
July 7, 1992 - December 31, 1992
PRUDENTIAL EQUITY GROUP, LLC
November 22, 1977 - July 30, 1990
LEHMAN BROTHERS INC.
November 17, 1976 - November 22, 1977
SHEARSON HAYDEN STONE INC.
February 12, 1975 - November 17, 1976
SHEARSON HAYDEN STONE INC.
July 24, 1974 - March 3, 1975
REYNOLDS SECURITIES, INC.
August 3, 1967 - August 19, 1975
W. E. HUTTON & CO.
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
Series 15
Date: 10/11/1983
Foreign Currency Options ExaminationSeries 5
Date: 10/17/1981
Interest Rate Options ExaminationPC
Date: 8/30/1977
AMEX Put and Call ExamSeries 1
Date: 8/2/1967
Registered Representative ExaminationSeries 40
Date: 6/14/1977
Registered Principal ExaminationSeries 12
Date: 6/9/1977
NYSE Branch Manager 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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