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George L Prost

CRD# 1334567·Registered 1985 - 2018
Previously Registered: Being a previously registered professional could mean that George 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.

Professional Summary

George L Prost, who also goes by George Prost, Gp Prost, was a registered financial advisor. George was a previously registered financial professional and started their career in finance 1985 - 2018. George had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 52 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

George Prost, Gp Prost

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

41 years in the financial services industry

Current & Past Employments

INTERCOASTAL CAPITAL MARKETS, INC.·CRD# 83
BD
Summit, NJ
April 14, 2014 - May 30, 2018
R. SEELAUS & CO., LLC·CRD# 14974
BD
Chatham, NJ
March 18, 2009 - November 23, 2012
SECUREVEST FINANCIAL GROUP·CRD# 10100
BD
Morristown, NJ
May 19, 2008 - December 10, 2008
R. SEELAUS & CO., LLC·CRD# 14974
BD
Chatham, NJ
December 4, 2006 - March 18, 2008
RBC CAPITAL MARKETS, LLC·CRD# 31194
BD
New York, NY
March 7, 2003 - May 2, 2005
FIRST INSTITUTIONAL SECURITIES, L.L.C.·CRD# 23910
BD
West Paterson, NJ
June 16, 1992 - March 7, 2003
GILMORE SECURITIES & CO.·CRD# 27210
BD
Fort Lee, NJ
May 24, 1991 - June 26, 1992
WILLIAM M. CADDEN & CO., INC.·CRD# 16363
BD
January 20, 1989 - June 7, 1989
GLICKENHAUS & CO. - NEW JERSEY·CRD# 7302
BD
October 4, 1985 - June 2, 1988

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Current Firm

INTERCOASTAL CAPITAL MARKETS, INC.
INTERCOASTAL CAPITAL MARKETS, INC.

BELLAMAH, NEUHAUSER & BARRETT, INC. | INTERCOASTAL CAPITAL MARKETS, INC. (ICM) | INTERCOASTAL CAPITAL MARKETS, INC.

CRD#: 83 / SEC#: 8-9698
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)

Contact Information

Main Address

200 East Palmetto Park Road Suite 108, Boca Raton, FL 33432

Mailing Address

200 East Palmetto Park Road Suite 108, Boca Raton, FL 33432

Phone Number

(561) 939-8282

Established

District of Columbia since 07/26/1960

Firm Type

Corporation

Fiscal Year End

May

Firm Size

Small

FINRA licenses (38 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TRIFECTA GROUP HOLDINGS LLCOWNER—
BIRD, CARL DAVID JR.CHIEF EXECUTIVE OFFICER4482416
ROGERS, JOHN WILLIAM JRPRESIDENT, CHIEF COMPLIANCE OFFICER2424004
SINGER, STEVEN FREDERICCHIEF FINANCIAL OFFICER, COO, FINOP2360737

Disclosures

Regulatory Event

9

Arbitration

2

Bond

1

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 1991About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed May 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Apr 1992About the Series 7 exam

Series 52 — Municipal Securities Representative Examination

Passed Oct 1985About the Series 52 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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