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JP

John E. Prokop

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CRD#: 1472658
JP

Professional summary

John Edward Prokop was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

John is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, John had worked at 4 firms, which includes IAC SECURITIES INC., CETERA WEALTH SERVICES LLC, AMERICAN CAPITAL CORPORATION, WOODBURY FINANCIAL SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.

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CRS (Client Relationship Summary)

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

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

Past

March 12, 1996 - February 22, 2000

IAC SECURITIES, INC.

BD
CRD#: 14081
TINLEY PARK, IL
Past

April 6, 1992 - July 20, 1995

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

August 1, 1990 - December 31, 1991

AMERICAN CAPITAL CORPORATION

BD
CRD#: 16124
VALLEY FORGE, PA
Past

March 31, 1986 - December 31, 1989

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 6
Date: 3/27/1986
Investment Company Products/Variable Contracts Representative Examination

Current Firm

IS
IAC SECURITIES, INC.
IAC SECURITIES D/B/A MME NETWORK ADVISERS | TRI-MERICA SECURITIES CORPORATION | THRIFT DISCOUNT BROKERAGE, INC. | MME NETWORK ADVISERS | IAC SECURITIES, INC.

CRD#: 14081 / SEC#: , 8-30220

BD
Terminated by SEC on 04/16/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
Iowa since 05/19/1983
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ILONA FINANCIAL GROUPSHAREHOLDER
FAIR, NORMAN ARNOLDDIRECTOR SECRETARY1359414
ROBERTS, ALBERTA STEPHENSPRESIDENT & CHIEF COMPLIANCE OFFICER2681068
ROBERTSON, SHARON RUTHCHIEF FINANCIAL OFFICER & VP1793255

Disclosures

Regulatory Event1

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.

Company Information

IAC SECURITIES, INC.

CRD#: 14081

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