Martin T. Werther
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.
Martin Theodore Werther, who also goes by Morris T Werther, was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 1968. Martin had worked at 5 firms and has passed the PC, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 1988 - February 17, 1990
PRUDENTIAL EQUITY GROUP, LLC
January 31, 1980 - November 17, 1988
UBS FINANCIAL SERVICES INC.
April 17, 1978 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
April 7, 1975 - March 1, 1978
J.P. MORGAN SECURITIES LLC
April 19, 1968 - March 4, 1975
BREGMAN SECURITIES CO., 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: 7/22/1980
AMEX Put and Call ExamSeries 1
Date: 8/21/1961
Registered Representative ExaminationSeries 40
Date: 5/18/1972
Registered Principal 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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