Andrew S. Prophet
Professional summary
Andrew Seafus Prophet was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Andrew is a previously registered financial advisor and started their career in finance in 2000. Prior to being barred, Andrew had worked at 7 firms, which includes SUMMIT FINANCIAL GROUP INC, SUMMIT BROKERAGE SERVICES INC., CONNECTICUT INVESTMENT MANAGEMENT, NEWALLIANCE INVESTMENTS INC., BANC OF AMERICA INVESTMENT SERVICES INC., QUICK & REILLY INC., UBS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2008 - April 23, 2009
SUMMIT FINANCIAL GROUP INC
June 2, 2008 - April 23, 2009
SUMMIT BROKERAGE SERVICES, INC.
April 12, 2007 - March 4, 2008
CONNECTICUT INVESTMENT MANAGEMENT
October 4, 2006 - April 5, 2007
NEWALLIANCE INVESTMENTS, INC.
October 4, 2006 - March 4, 2008
NEWALLIANCE INVESTMENTS, INC.
October 20, 2004 - October 17, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - October 17, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 4, 2002 - October 20, 2004
QUICK & REILLY, INC.
August 14, 2001 - October 20, 2004
QUICK & REILLY, INC.
June 16, 2000 - July 27, 2001
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
SUMMIT FINANCIAL GROUP INC
CRD#: 109485 / SEC#: 801-56645
Contact information
Red Flags
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