AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why AdvisorCheck
MP

Myra Lou Prescott

CRD# 1407136·Registered 1985 - 2019
Previously Registered: Being a previously registered professional could mean that Myra 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

Myra Lou Prescott, who also goes by Myra Lou Howard, Myra Lou Polanco, Myra Lou Howard Polanco, Myra Lou Howard Polano, was a registered financial advisor. Myra was a previously registered financial professional and started their career in finance 1985 - 2019. Myra had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.

At a Glance

—

Fiduciary Standard

—

Fee Structure

—

Account Minimum

—

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Myra Lou Howard, Myra Lou Polanco, Myra Lou Howard Polanco, Myra Lou Howard Polano

Blog Corner

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
View profile
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Videos & Posts

This advisor has not added any videos or posts yet.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Contact Information

No current employment

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

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.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Years of Experience

41 years in the financial services industry

Current & Past Employments

ALLIANCE FINANCIAL GROUP, INC.·CRD# 28538
BD
Dallas, TX
April 28, 2006 - October 21, 2019
AWM SERVICES, LLC·CRD# 6439
BD
Houston, TX
June 20, 2002 - April 17, 2006
BELMONT ASSET MANAGEMENT, INC.·CRD# 18484
BD
Dallas, TX
February 12, 1997 - June 17, 2002
DILLON - GAGE SECURITIES, INC.·CRD# 10821
BD
Addison, TX
September 26, 1996 - January 29, 1997
HARRIS SECURITIES, INC.·CRD# 16587
BD
Dallas, TX
September 28, 1995 - August 6, 1996
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
January 23, 1995 - August 29, 1995
FIRST DALLAS SECURITIES INCORPORATED·CRD# 24549
BD
Dallas, TX
November 20, 1989 - January 24, 1995
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
January 3, 1989 - August 12, 1989
LEHMAN BROTHERS INC.·CRD# 7506
BD
New York, NY
June 15, 1988 - January 2, 1989
DREXEL BURNHAM LAMBERT INCORPORATED·CRD# 7323
BD
September 25, 1985 - August 10, 1988

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Current Firm

AF
ALLIANCE FINANCIAL GROUP, INC.

ALLIANCE FINANCIAL GROUP, INC.

CRD#: 28538 / SEC#: 8-43788
BD
Terminated by SEC on 06/23/2020

Contact Information

Established

Texas since 11/14/1986

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
ALLIANCE FINANCIAL HOLDINGS, LLCSHAREHOLDER—
BEST, CHARLES MCCOMBERCHAIRMAN/CEO/DIRECTOR20486
BROTT, CLIFFORD JOHN JRSENIOR VICE PRESIDENT/DIRECTOR31829
BURNS, KAREN RAYBURNVICE PRESIDENT/CCO/DIRECTOR/SECRETARY2482528
GENDLER, STEVEN HERBERTSENIOR VICE PRESIDENT/DIRECTOR1075091
LISTON, JACK D IIIPRESIDENT/COO/DIRECTOR2405320
STERLING, DONALD WILLIAMFINOP1192425

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

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 Feb 1986About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Sep 1985About the Series 7 exam

Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)

Passed Oct 1986

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#

CRS (Client Relationship Summary)

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

Similar Advisors

Guy David Peel
Guy David Peel

OSAIC WEALTH, INC.

HELENA, MT · CRD#
Mark Brown
Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

ESTERO, FL · CRD#
Jeffrey Paul Meotti
Jeffrey Paul Meotti

MORGAN STANLEY

MADISON, CT · CRD#
Douglas Paul Kinsey
Douglas Paul Kinsey

SOLTIS INVESTMENT ADVISORS, LLC

Oakwood, OH · CRD#
MP
Follow Myra
Get alerted to job moves, licensing changes, and new disclosures
Free — no card required