Victor I. Colley

PRIME CAPITAL EQUITIES

San Diego, CA

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CRD#: 1200543

Professional summary

Victor Ira Colley is a registered financial advisor currently at PRIME CAPITAL EQUITIES LLC located in San Diego, California.

Victor is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Victor has worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Victor Ira Colley's CRS (Customer Relationship Summary).

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

Current

November 3, 2021 - Present

PRIME CAPITAL EQUITIES LLC

RIA

CRD#: 157411

San Diego, CA

Past

January 17, 1992 - December 31, 2002

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

January 29, 1991 - January 22, 1992

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

May 29, 1985 - January 3, 1991

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

May 18, 1984 - April 18, 1985

LA JOLLA SECURITIES, INC.

CRD#: 8182

Past

October 19, 1983 - May 4, 1984

DETWILER, RYAN & CO., INC.

CRD#: 12956

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(11/3/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/8/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/19/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 6/27/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/15/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 8/7/1996

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

PRIME CAPITAL EQUITIES LLC

PRIME CAPITAL EQUITIES | PRIME CAPITAL EQUITIES LLC

CRD#: 157411 / SEC#: 801-72292

RIA

Registered Investment Advisory firm - (8/17/2011 Terminated)

California

Registered Investment Advisory firm - (8/10/2011 Approved)

Texas

Registered Investment Advisory firm - (1/30/2019 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

San Diego, CA

Mailing Address

Phone number

(619) 261-5182

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	130
AUM (Assets Under Management)	$ 50,000,000

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.

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Firm Stability Insights

Victor I. Colley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Victor Ira Colley's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIME CAPITAL EQUITIES LLC

CHARLES SCHWAB & CO., INC.

MML INVESTORS SERVICES, LLC

MORGAN STANLEY DW INC.

LA JOLLA SECURITIES, INC.

DETWILER, RYAN & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/8/2021

Series 63

Date: 7/19/1985

Series 3

Date: 6/27/1986

Series 7

Date: 10/15/1983

Series 8

Date: 8/7/1996

Current Firm

PRIME CAPITAL EQUITIES LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PRIME CAPITAL EQUITIES LLC

TRUST BUT VERIFY

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