Jon A. Prescott
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.
Jon Anthony Prescott was a registered financial professional .
Jon is a previously registered financial professional and started their career in finance in 1990. Jon had worked at 6 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2012 - December 3, 2012
DIRECT ACCESS PARTNERS LLC
September 4, 2003 - August 3, 2011
VIRTU ITG LLC
August 29, 1995 - September 2, 2003
ITG EXECUTION SERVICES, INC.
April 30, 1991 - January 24, 1995
INTESA SANPAOLO IMI SECURITIES CORP.
September 10, 1990 - April 30, 1991
MABON, NUGENT & CO.
February 13, 1990 - September 28, 1990
PRUDENTIAL EQUITY GROUP, LLC
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: 3/20/2000
Limited Representative-Equity Trader ExamCurrent Firm
DIRECT ACCESS PARTNERS LLC
CRD#: 120950 / SEC#: , 8-65361
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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