AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RC

Robert R. Coon

Some features on this profile are disabled
CRD#: 53395
RC

Professional summary

Robert Richardson Coon II was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Robert is a previously registered financial professional and started their career in finance in 1973. Prior to being barred, Robert had worked at 4 firms, which includes PRUDENTIAL EQUITY GROUP LLC, FINANCIAL SQUARE PARTNERS, AMERICAN GENERAL EQUITY SERVICES CORPORATION, BELL & BECKWITH.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert R Coon Ii | Robert Richardson Coon Iii

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 3, 1985 - August 28, 1999

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

March 22, 1983 - April 25, 1985

FINANCIAL SQUARE PARTNERS

BD
CRD#: 1541
Past

May 24, 1982 - September 16, 1983

AMERICAN GENERAL EQUITY SERVICES CORPORATION

BD
CRD#: 5435
Past

November 1, 1973 - February 10, 1983

BELL & BECKWITH

BD
CRD#: 1203

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/9/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/7/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
PC
Date: 12/16/1996
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 3
Date: 10/3/1989
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 5
Date: 3/2/1984
Interest Rate Options Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/2/1977
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 00
Date: 10/29/1973
General Securities Principal Examination

Current Firm

PE
PRUDENTIAL EQUITY GROUP, LLC
BACHE HALSEY STUART SHIELDS INCORPORATED | WWW.PRUDENTIAL.COM | PRUDENTIAL-BACHE SECURITIES INC. | PRUDENTIAL SECURITIES INCORPORATED | PRUDENTIAL EQUITY GROUP, LLC | PRUDENTIAL EQUITY GROUP, INC.

CRD#: 7471 / SEC#: , 8-27154

BD
Terminated by SEC on 01/18/2008
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 02/02/2004
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PRUDENTIAL SECURITIES GROUP INC.["PSGI"] PARENT OF PRUDENTIAL EQUITY GROUP, LLCSHAREHOLDER DIRECT
BAVARO, MARGUERITE ANNECHIEF OPERATIONS OFFICER722294
DUGAN, MICHAEL JOSEPHCHIEF FINANCIAL OFFICER AND CHIEF ADMINISTRATIVE OFFICER1604211
RICE, JUDY ANNMANAGER67215
SHEA, MICHAEL JOSEPHMANAGER, CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER1014613
STRANGFELD, JOHN ROBERT JRMANAGER & CHAIRMAN OF THE BOARD1301812

Disclosures

Regulatory Event288
Civil Event1
Arbitration579

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.

Company Information

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

TRUST BUT VERIFY

Monitor Robert Coon

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.