Rudolph R. Commans
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.
Rudolph Richard Commans JR was a registered financial advisor .
Rudolph is a previously registered financial advisor and started their career in finance in 1967. Rudolph had worked at 7 firms and has passed the Series 63, PC, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 1998 - November 26, 2002
PRUDENTIAL EQUITY GROUP, LLC
November 11, 1983 - November 26, 2002
PRUDENTIAL EQUITY GROUP, LLC
January 19, 1981 - November 28, 1983
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
July 15, 1980 - February 16, 1981
CITIGROUP GLOBAL MARKETS INC.
October 18, 1978 - May 24, 1980
LEGG MASON WOOD WALKER, INCORPORATED
December 13, 1973 - April 8, 1977
EUROPEAN-AMERICAN SECURITIES, INC.
October 6, 1971 - November 5, 1973
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
March 20, 1967 - October 8, 1971
DUPONT WALSTON, 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: 1/10/1984
AMEX Put and Call ExamSeries 1
Date: 3/17/1967
Registered Representative ExaminationSeries 00
Date: 10/18/1973
General Securities 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
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.
