Kosal Prum
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.
Kosal Prum was a registered financial professional .
Kosal is a previously registered financial professional and started their career in finance in 2002. Kosal had worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2022 - October 6, 2025
FRED ALGER & COMPANY, LLC
March 20, 2020 - February 28, 2022
THORNBURG INVESTMENT MANAGEMENT INC
March 20, 2020 - February 28, 2022
THORNBURG SECURITIES LLC
March 24, 2008 - January 27, 2020
ALLSPRING FUNDS MANAGEMENT, LLC
March 5, 2008 - January 27, 2020
ALLSPRING FUNDS DISTRIBUTOR, LLC
March 14, 2007 - March 6, 2008
RIVERSOURCE DISTRIBUTORS, INC.
October 4, 2004 - December 31, 2005
AMERICAN GENERAL SECURITIES INCORPORATED
February 24, 2004 - September 1, 2004
ALLIANZ LIFE FINANCIAL SERVICES, LLC
January 1, 2002 - June 10, 2003
CNL SECURITIES CORP.
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
Current Firm
FRED ALGER & COMPANY, LLC
CRD#: 5300 / SEC#: , 8-15900
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
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.
