Wesley V. Pritchett
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.
Wesley Vern Pritchett, who also goes by Wesley V Pritchett, was a registered financial professional .
Wesley is a previously registered financial professional and started their career in finance in 1991. Wesley had worked at 5 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2001 - October 22, 2004
BNY CAPITAL MARKETS INC.
August 25, 2000 - December 22, 2000
VAN LANSCHOT KEMPEN (USA) INC.
October 12, 1995 - March 30, 2000
FORTIS CAPITAL INVESTMENTS INC.
September 1, 1993 - July 11, 1995
YAMAICHI INTERNATIONAL (AMERICA) INC.
February 4, 1991 - March 25, 1991
MF GLOBAL INC.
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: 9/5/2001
Limited Representative-Equity Trader ExamCurrent Firm
BNY CAPITAL MARKETS INC.
CRD#: 18303 / SEC#: , 8-36321
Contact information
Documents
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.
