Eduardo J. Prado
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.
Eduardo Jose Prado was a registered financial professional .
Eduardo is a previously registered financial professional and started their career in finance in 1991. Eduardo had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 28 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
March 26, 2020 - December 31, 2020
CAMDEN FINANCIAL SERVICES
August 21, 2018 - December 31, 2019
LIGHTPATH CAPITAL, INC
January 27, 2014 - December 31, 2015
FAIRBRIDGE CAPITAL PARTNERS
August 26, 2013 - August 15, 2016
FAIRBRIDGE CAPITAL MARKETS
April 5, 2011 - December 31, 2013
FAIRBRIDGE CAPITAL PARTNERS
September 17, 2010 - March 28, 2012
PENSERRA SECURITIES, LLC
June 27, 2003 - June 4, 2010
FINACORP SECURITIES
February 3, 1997 - June 4, 2010
FINACORP SECURITIES
August 2, 1994 - September 17, 1994
THE TRADING DESK, INC.
December 23, 1992 - July 8, 1997
TDI, INCORPORATED
May 15, 1991 - April 7, 1993
THE TRADING DESK, 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 28
Date: 10/28/1996
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
CAMDEN FINANCIAL SERVICES
CRD#: 19925 / SEC#: , 8-37303
Contact information
FINRA licenses (8 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UCCIFERRI, LOUIE | PRESIDENT, FINOP, CHIEF COMPLIANCE OFFICER, AML-CO | 1156956 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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