Charles D. Tom
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 David Tom 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, Series 3, 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
December 7, 1987 - October 13, 1988
PRUDENTIAL EQUITY GROUP, LLC
January 13, 1986 - February 4, 1988
E. F. HUTTON & COMPANY INC
March 4, 1980 - January 28, 1986
DREXEL BURNHAM LAMBERT INCORPORATED
October 31, 1978 - March 15, 1980
CIBC WORLD MARKETS CORP.
July 13, 1978 - November 12, 1978
BECKER PARIBAS INCORPORATED
December 5, 1977 - July 13, 1978
BECKER SECURITIES INCORPORATED
June 1, 1971 - January 8, 1978
KIDDER, PEABODY & CO., 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
Series 000
Date: 5/27/1971
General Securities Principal ExaminationSeries 1
Date: 5/27/1971
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
