Charles R. Stedman
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.
Charles Ray Stedman was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1971. Charles had worked at 7 firms and has passed the Series 63, PC, Series 15 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
April 16, 1982 - February 20, 1992
PRUDENTIAL EQUITY GROUP, LLC
August 10, 1979 - May 3, 1982
WADDELL & REED
May 1, 1979 - December 4, 1984
USLIFE EQUITY SALES CORP.
April 3, 1979 - May 1, 1979
USLIFE EQUITY SALES CORP
April 4, 1975 - April 22, 1979
COMBINED FUND MANAGEMENT COMPANY
March 6, 1973 - December 7, 1974
PW SECURITIES, INC.
January 20, 1971 - September 11, 1973
INTERNATIONAL FUND SERVICES, 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
PC
Date: 9/15/1988
AMEX Put and Call ExamSeries 15
Date: 3/7/1983
Foreign Currency Options ExaminationSeries 1
Date: 1/13/1971
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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