Robert J. Prager
Professional summary
Robert Jay Prager was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Robert had worked at 14 firms, which includes U.S. CAPITAL PARTNERS INC., VFINANCE INVESTMENTS INC, FIRST COLONIAL SECURITIES, J. ALEXANDER SECURITIES INC., AVALON RESEARCH GROUP INC., LASALLE ST SECURITIES L.L.C., SAPERSTON FINANCIAL INC., ROSS SECURITIES CORP., LABRANCHE FINANCIAL SERVICES LLC, SOUTH BEACH SECURITIES INC., REYNOLDS KENDRICK STRATTON INC., EMANUEL AND COMPANY, JW GENESIS CLEARING CORP., SHERMAN FITZPATRICK & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2002 - November 12, 2004
U.S. CAPITAL PARTNERS, INC.
January 1, 2002 - December 17, 2002
VFINANCE INVESTMENTS, INC
May 18, 2001 - January 1, 2002
FIRST COLONIAL SECURITIES
February 26, 2001 - May 18, 2001
FIRST COLONIAL SECURITIES
December 9, 1998 - May 18, 2001
VFINANCE INVESTMENTS, INC
April 21, 1998 - December 22, 1998
J. ALEXANDER SECURITIES, INC.
March 4, 1998 - April 21, 1998
AVALON RESEARCH GROUP, INC.
October 28, 1997 - March 16, 1998
J. ALEXANDER SECURITIES, INC.
October 16, 1997 - December 13, 1997
LASALLE ST SECURITIES, L.L.C.
May 20, 1997 - October 16, 1997
SAPERSTON FINANCIAL INC.
November 29, 1996 - May 23, 1997
J. ALEXANDER SECURITIES, INC.
January 19, 1995 - October 28, 1996
ROSS SECURITIES CORP.
January 5, 1995 - January 19, 1995
LABRANCHE FINANCIAL SERVICES, LLC
November 8, 1994 - February 17, 1995
SOUTH BEACH SECURITIES, INC.
February 25, 1994 - July 20, 1994
REYNOLDS KENDRICK STRATTON, INC.
March 10, 1993 - March 31, 1994
EMANUEL AND COMPANY
September 20, 1991 - March 1, 1993
JW GENESIS CLEARING CORP.
May 21, 1987 - September 18, 1991
SHERMAN, FITZPATRICK & CO., 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 55
Date: 1/22/2000
Limited Representative-Equity Trader ExamCurrent Firm
U.S. CAPITAL PARTNERS, INC.
CRD#: 120751 / SEC#: , 8-65339
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ZINDMAN, MICHAEL DAVID | VICE PRESIDENT | 2720114 |
| ILENE MIRMAN | OWNER | |
| COHEN, DAVID SCOTT | CHIEF COMPLIENCE OFFICER | |
| MIRMAN, ALVIN SAUL | PRESIDENT |
Red Flags
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