Richard L. Decastro
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.
Richard Lewis Decastro was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1970. Richard had worked at 7 firms and has passed the Series 63, Series 65, Series 15, Series 5, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2002 - December 5, 2002
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
June 13, 1974 - February 27, 1976
BACHE & CO., INCORPORATED
June 3, 1974 - December 5, 2002
PRUDENTIAL EQUITY GROUP, LLC
July 2, 1973 - September 5, 1975
DUPONT WALSTON, INCORPORATED
January 13, 1972 - July 2, 1973
DUPONT GLORE FORGAN INCORPORATED
December 11, 1970 - May 17, 1972
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
Series 15
Date: 7/18/1990
Foreign Currency Options ExaminationSeries 5
Date: 11/19/1981
Interest Rate Options ExaminationSeries 1
Date: 12/16/1963
Registered Representative ExaminationSeries 40
Date: 5/5/1977
Registered Principal ExaminationSeries 12
Date: 6/24/1968
NYSE Branch Manager 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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