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TP

Trisha A. Prince

WAVELAND CAPITAL PARTNERS LLC
Irvine, CA 92612
Some features on this profile are disabled
CRD#: 2941980
TP

Professional summary

Trisha Anne Prince, who also goes by Trisha A Prince, Trisha Anne Prince, is a registered financial professional currently at WAVELAND CAPITAL PARTNERS LLC located in Irvine, California and SNOWBRIDGE SECURITIES LLC located in Palm Beach Gardens, Florida.

Trisha is registered as a RR (Registered Representative) and started their career in finance in 1999. Trisha has worked at 16 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Trisha A Prince | Trisha Anne Prince

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
DBA: Prince Compliance Consulting, located at 613 Cotley Drive, Frisco, Texas 75036. Hours per week: 40. Investment related. Perform Chief Compliance Officer duties for broker dealers & registered investment advisors. Aliso Advisors-Compliance Consulting, 40 hrs/wk. Wavelance Capital Partners-BD, 10 hrs/wk

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Trisha Anne Prince's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 2, 2020 - Present

WAVELAND CAPITAL PARTNERS LLC

Office #1: 19800 Macarthur Blvd Suite 650, Irvine, CA 92612
BD
CRD#: 40054
Irvine, CA
Current

November 2, 2022 - Present

SNOWBRIDGE SECURITIES LLC

Office #1: 3801 Pga Boulevard Suite 600, Palm Beach Gardens, FL 33410
BD
CRD#: 301996
Palm Beach Gardens, FL
Current

July 28, 2023 - Present

PRIVATE BROKERS, LLC

Office #1: 745 5th Avenue, Suite 500, New York, NY 10151
BD
CRD#: 165758
New York, NY
Past

June 2, 2020 - September 15, 2022

TCFG INVESTMENT ADVISORS, LLC

RIA
CRD#: 166606
Frisco, TX
Past

June 2, 2020 - September 15, 2022

TCFG WEALTH MANAGEMENT, LLC

BD
CRD#: 164153
Frisco, TX
Past

March 5, 2020 - March 25, 2020

NEXTREND SECURITIES, INC.

BD
CRD#: 43710
Frisco, TX
Past

March 24, 2017 - January 31, 2020

TITAN SECURITIES

BD
CRD#: 131392
ADDISON, TX
Past

March 22, 2017 - January 31, 2020

TITAN SECURITIES

RIA
CRD#: 131392
ADDISON, TX
Past

December 18, 2012 - May 10, 2016

CREDIT SUISSE SECURITIES (USA) LLC

RIA
CRD#: 816
NEW YORK, NY
Past

December 18, 2012 - May 10, 2016

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

July 15, 2008 - June 29, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CHICAGO, IL
Past

July 14, 2008 - June 29, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
CHICAGO, IL
Past

February 16, 2005 - May 8, 2007

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
DALLAS, TX
Past

February 3, 2005 - May 8, 2007

DEUTSCHE BANK SECURITIES INC.

RIA
CRD#: 2525
DALLAS, TX
Past

October 9, 2002 - July 15, 2003

OSAIC FA, INC.

RIA
CRD#: 3978
DALLAS, TX
Past

October 9, 2002 - July 15, 2003

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

October 9, 2002 - July 15, 2003

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN
Past

November 18, 1999 - August 28, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
RICHARDSON, TX
Past

November 18, 1999 - August 28, 2002

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

November 18, 1999 - August 28, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

June 1, 1999 - October 26, 1999

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

March 22, 1999 - July 7, 1999

AMERI-FIRST SECURITIES CORPORATION

BD
CRD#: 45289
DALLAS, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(3/2/2020)
RR
Texas
(3/2/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 6/15/1999
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 5/12/1999
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 9/5/2014
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 2/23/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/5/2018
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 2/15/2013
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/11/2013
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

PB
PRIVATE BROKERS, LLC
CEDARBRIDGE SECURITIES, LLC | PUBLIC BROKERS, LLC | PRIVATE BROKERS, LLC

CRD#: 165758 / SEC#: , 8-69181

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
745 5th Avenue Suite 500, New York, NY 10151
Mailing Address
745 5th Avenue Suite 500, New York, NY 10151
Phone number
(212) 210-6324
Established
Delaware since 08/24/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FINITIVE HOLDINGS, INC.OWNER
BARLOW, JONATHAN F.OWNER OF FINITIVE HOLDINGS4577581
PRINCE, TRISHA ANNECHIEF COMPLIANCE OFFICER2941980
SIPINICK, KATHY EFREMCFO/FINOP3248100

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.

Company Information

PRIVATE BROKERS, LLC

CRD#: 165758Irvine, CA 92612

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