Robert R. Coon
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 1985 - August 28, 1999
PRUDENTIAL EQUITY GROUP, LLC
March 22, 1983 - April 25, 1985
FINANCIAL SQUARE PARTNERS
May 24, 1982 - September 16, 1983
AMERICAN GENERAL EQUITY SERVICES CORPORATION
November 1, 1973 - February 10, 1983
BELL & BECKWITH
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 12/16/1996
AMEX Put and Call ExamSeries 5
Date: 3/2/1984
Interest Rate Options ExaminationSeries 00
Date: 10/29/1973
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
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