John C. Prager
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.
John Christopher Prager was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 5 firms and has passed the Series 63 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2011 - May 17, 2012
WHITAKER SECURITIES LLC
August 12, 2005 - July 28, 2010
BGC FINANCIAL, L.P.
August 17, 1999 - April 3, 2000
ICAP SECURITIES USA LLC
November 30, 1995 - July 28, 1999
INTERCAPITAL GOVERNMENT SECURITIES INC.
July 25, 1987 - November 20, 1995
DEALERWEB 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
Current Firm
WHITAKER SECURITIES LLC
CRD#: 121465 / SEC#: , 8-65419
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NICOSIA, ROSALIE MARGARET | CHIEF COMPLIANCE OFFICER, CRCP | 4239124 |
Disclosures
| Regulatory Event | 6 |
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.
