Edward P. Prescott
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.
Edward Purcell Prescott JR, who also goes by Ted Prescott, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1968. Edward had worked at 7 firms and has passed the Series 63, SIE, Series 1 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
February 15, 1989 - July 19, 2017
MUTUAL SECURITIES, INC.
June 17, 1987 - January 5, 1989
FIRST AFFILIATED SECURITIES, INC.
July 31, 1984 - June 2, 1987
AMERICAN PACIFIC SECURITIES CORPORATION
February 2, 1982 - August 13, 1984
UNIVERSAL HERITAGE INVESTMENTS CORPORATION
February 3, 1978 - August 29, 1984
INVESTORS FINANCIAL SERVICES, INCORPORATED
August 26, 1969 - December 8, 1971
REGENT STREET SECURITIES, INC.
March 7, 1968 - July 27, 1981
JOSEPH SEBAG INCORPORATED
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 1
Date: 8/18/1959
Registered Representative ExaminationCurrent Firm
MUTUAL SECURITIES, INC.
CRD#: 13092 / SEC#: 801-68443, 8-28580
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL GROUP, INC. | CORPORATION | |
| CLAUSSEN, DAWN MARIE | CHIEF OPERATING OFFICER | 5445747 |
| DAMIANI, NICHOLAS ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 5669491 |
| JASPER, AARON T | CHIEF EXECUTIVE OFFICER | 5016734 |
| SABOL, RYAN STEPHEN | MANAGING PRINCIPAL | 4419285 |
| SHANNON, DEBRA DAWN | CHIEF COMPLIANCE OFFICER | 5021297 |
| VOSS, MITCHELL CRAIG | CHAIRMAN | 1029100 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 8 |
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.
