Brian E. Prost
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.
Brian Eric Prost was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1994. Brian had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 31, 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
May 8, 2013 - June 29, 2015
A.G.P. / ALLIANCE GLOBAL PARTNERS
May 8, 2013 - June 29, 2015
A.G.P. / ALLIANCE GLOBAL PARTNERS
February 14, 2012 - April 12, 2013
FSC SECURITIES CORPORATION
February 10, 2012 - April 12, 2013
FSC SECURITIES CORPORATION
February 18, 2011 - March 2, 2012
PROTECTED INVESTORS OF AMERICA
February 17, 2011 - March 2, 2012
PROTECTED INVESTORS OF AMERICA
September 25, 2009 - February 17, 2011
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 24, 2009 - February 17, 2011
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 1, 2009 - September 24, 2009
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 14, 2005 - September 3, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 7, 2004 - September 24, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 19, 2001 - May 26, 2004
UBS FINANCIAL SERVICES INC.
March 30, 2001 - May 26, 2004
UBS FINANCIAL SERVICES INC.
February 3, 1998 - April 3, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 2, 1996 - January 9, 1998
A. G. EDWARDS & SONS, INC.
October 16, 1995 - December 5, 1996
BARRON CHASE SECURITIES, INC.
February 24, 1995 - November 8, 1995
HD BROUS & CO., INC.
December 13, 1994 - March 1, 1995
INVESTORS ASSOCIATES, INC.
July 26, 1994 - September 21, 1994
J. GREGORY & COMPANY, INC.
Primary Firm SEC Registration
A.G.P. / ALLIANCE GLOBAL PARTNERS
CRD#: 8361 / SEC#: 801-70276, 8-25132
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
Current Firm
A.G.P. / ALLIANCE GLOBAL PARTNERS
CRD#: 8361 / SEC#: 801-70276, 8-25132
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCE GLOBAL HOLDINGS, INC. | HOLDING COMPANY | |
| GAMBARDELLA, RAFFAELE | COO/CHIEF RISK OFFICER | 2448073 |
| HIGGINS, THOMAS JOSEPH | PRINCIPAL OPERATIONS OFFICER | 1477505 |
| KLEIN, CRAIG ERIN | CFO, PRINCIPAL FINANCIAL OFFICER | 3253836 |
| LAURIELLO, ANTHONY JOSEPH | MUNICIPAL SECURITIES PRINCIPAL | 1086881 |
| MICHALS, PHILLIP WILLIAM | CHIEF EXECUTIVE OFFICER | 2414124 |
| VENEZIA, JOHN JOSEPH | CHIEF COMPLIANCE OFFICER - BROKER DEALER, RIA | 2737135 |
Regulatory assets under management
| Total Number of Accounts | 6,959 |
| AUM (Assets Under Management) | $ 2,300,125,872 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 3 |
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.
