Judy A. Rice
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.
Judy Ann Rice, who also goes by Judy Ann Dichiacchio, was a registered financial professional .
Judy is a previously registered financial professional and started their career in finance in 1973. Judy had worked at 8 firms and has passed the Series 65, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2003 - January 18, 2008
PRUDENTIAL EQUITY GROUP, LLC
August 26, 2002 - January 11, 2016
PGIM INVESTMENTS LLC
December 7, 1998 - January 11, 2016
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
June 2, 1992 - January 27, 1999
PRUDENTIAL EQUITY GROUP, LLC
May 14, 1988 - April 29, 1992
LEHMAN BROTHERS INC.
September 9, 1975 - May 14, 1988
E. F. HUTTON & COMPANY INC
November 8, 1974 - September 8, 1975
SHEARSON HAYDEN STONE INC.
October 12, 1973 - November 8, 1974
SHEARSON, HAMMILL & CO., INCORPORATED
August 30, 1973 - October 24, 1973
WILLIAM D. WITTER, INC.
February 1, 1973 - September 16, 1973
SHEARSON, HAMMILL & CO., 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
Series 1
Date: 1/29/1973
Registered Representative 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.
