Robert A. Prindiville
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.
Robert Andrew Prindiville was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1959. Robert had worked at 2 firms and has passed the Series 65, Series 63, PC, Series 41, Series 1 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 1991 - April 1, 1999
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
June 15, 1959 - September 13, 1991
THOMSON MCKINNON SECURITIES 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
PC
Date: 9/7/1977
AMEX Put and Call ExamSeries 41
Date: 8/28/1963
NYSE Allied Member ExaminationSeries 1
Date: 6/15/1959
Registered Representative ExaminationCurrent Firm
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
CRD#: 25567 / SEC#: , 8-41811
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
| Civil Event | 2 |
Red Flags
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