PM
Prakash Moktan
WORLD EQUITY GROUP
Greenville, SC
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CRD#: 4305040
PM
Professional summary
Prakash Moktan is a registered financial advisor currently at WORLD EQUITY GROUP, INC. located in Greenville, South Carolina.
Prakash is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Prakash has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. Fixed Life Insurance Sales, Investment related, Started 2004, Approx 16 Hrs./Mo, 0 during trading hours, 8876 AC Skinner Pkwy, Unit 1210, Jacksonville, FL 32256, Solicitation, Sale and service of Term Life Insurance, Position: Owner/Agent.
CRS (Client Relationship Summary) - RIA
Click below to view Prakash Moktan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Prakash Moktan's 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®
NoneExperience
Current
April 12, 2006 - Present
WORLD EQUITY GROUP, INC.
RIA
BD
CRD#: 29087
Greenville, SC
Current
April 11, 2006 - Present
WORLD EQUITY GROUP, INC.
Office #1: 425 N Martingale Road Suite 1220, Schaumburg, IL 60173Office #2: 425 N Martingale Rd Suite 1220, Schaumburg, IL 60173RIA
BD
CRD#: 29087
Schaumburg, IL
Past
March 13, 2002 - March 21, 2006
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
October 12, 2001 - April 10, 2002
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
October 12, 2001 - April 10, 2002
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WE
WORLD EQUITY GROUP, INC.
COMPASS ASSET MANAGEMENT | WORLD EQUITY GROUP, INC. | UNITED FINANCIAL GROUP INC. | PRAXIS WEALTH MANAGEMENT | MIDWAY WEALTH PARTNERS | MARTIN JAMES INVESTMENT & TAX MANAGEMENT LLC | INFINITY WEALTH MANAGEMENT, LLC | FOUR POINTS ADVISORY
CRD#: 29087 / SEC#: 801-56328, 8-44088
RIA
Registered Investment Advisory firm - SEC (3/26/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Delaware(11/20/2017)
RR
Illinois(4/11/2006)
IAR
Illinois(4/12/2006)
RR
Kentucky(3/4/2021)
RR
Michigan(8/13/2009)
IAR
Michigan(3/9/2021)
RR
North Carolina(1/12/2015)
RR
South Carolina(6/21/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WE
WORLD EQUITY GROUP, INC.
COMPASS ASSET MANAGEMENT | WORLD EQUITY GROUP, INC. | UNITED FINANCIAL GROUP INC. | PRAXIS WEALTH MANAGEMENT | MIDWAY WEALTH PARTNERS | MARTIN JAMES INVESTMENT & TAX MANAGEMENT LLC | INFINITY WEALTH MANAGEMENT, LLC | FOUR POINTS ADVISORY
CRD#: 29087 / SEC#: 801-56328, 8-44088
RIA
Registered Investment Advisory firm - SEC (3/26/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
425 N Martingale Road Suite 1220, Schaumburg, IL 60173
Mailing Address
425 N Martingale Road Suite 1200, Schaumburg, IL 60173
Phone number
(847) 342-1700
Established
Illinois since 09/13/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
170
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,151 |
| AUM (Assets Under Management) | $ 944,844,374 |
Disclosures
| Regulatory Event | 12 |
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.
