Andrew T. Prancl
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.
Andrew Thomas Prancl was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1994. Andrew had worked at 5 firms and has passed the Series 65, Series 63, Series 52TO, Series 57TO, SIE, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2021 - May 12, 2023
GOLDMAN SACHS WEALTH SERVICES, L.P.
January 4, 2021 - May 12, 2023
GOLDMAN SACHS & CO. LLC
August 1, 2019 - January 4, 2021
MERCER ALLIED COMPANY, L.P.
September 22, 2003 - August 1, 2019
GOLDMAN SACHS & CO. LLC
January 14, 1997 - December 11, 2003
MERCER ALLIED COMPANY, L.P.
February 22, 1995 - December 9, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 13, 1994 - February 10, 1995
PINEBRIDGE SECURITIES LLC
Primary Firm SEC Registration
GOLDMAN SACHS WEALTH SERVICES, L.P.
CRD#: 106693 / SEC#: 801-48238
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/5/2010
Limited Representative-Equity Trader ExamCurrent Firm
GOLDMAN SACHS WEALTH SERVICES, L.P.
CRD#: 106693 / SEC#: 801-48238
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 33,477 |
| AUM (Assets Under Management) | $ 25,958,285,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 09/25/2024 | ||
| 11/17/2023 | ||
| 01/26/2023 |
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.
