Patricia J. Prasad
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.
Patricia Jean Prasad, who also goes by Mercier Gallant, Patricia Jean Gallant, Patricia Jean Mercier, Patricia J Prasad, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1984. Patricia had worked at 8 firms and has passed the Series 63, Series 7, Series 27 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
December 11, 1989 - November 21, 1990
PRINCETON AMERICAN EQUITIES CORPORATION
August 2, 1989 - December 16, 1989
SMITH-THOMAS INVESTMENT SERVICES, INC.
October 13, 1988 - April 10, 1989
WAINWRIGHT, AUSTIN, STONE & CO.
May 9, 1988 - October 25, 1988
FIRM ONE SECURITIES, INCORPORATED
August 25, 1986 - January 28, 1988
CENPAC SECURITIES CORP.
September 3, 1985 - September 9, 1986
PENTAD SECURITIES, INC.
January 8, 1985 - September 12, 1985
MONACO SECURITIES, INC.
September 20, 1984 - January 2, 1985
YOUNG, SMITH & PEACOCK, 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
Current Firm
PRINCETON AMERICAN EQUITIES CORPORATION
CRD#: 14491 / SEC#: , 8-30752
Contact information
Documents
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.
