Paul M. Prentice
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.
Paul Mathew Prentice, who also goes by Paul Matthew Prentice, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1993. Paul had worked at 7 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
November 26, 2012 - April 15, 2014
MKM PARTNERS LLC
March 15, 2010 - January 27, 2012
CANACCORD GENUITY SECURITIES LLC
June 3, 2005 - March 1, 2010
PALI CAPITAL, INC.
April 6, 1998 - June 6, 2003
RBC CAPITAL MARKETS, LLC
April 23, 1997 - April 6, 1998
WESSELS, ARNOLD & HENDERSON, L.L.C.
April 6, 1993 - April 24, 1997
CREDIT SUISSE SECURITIES (USA) LLC
February 22, 1993 - April 2, 1993
REUTERS C CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 2/18/2000
Limited Representative-Equity Trader ExamCurrent Firm
MKM PARTNERS LLC
CRD#: 114666 / SEC#: , 8-53436
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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