Neftali Prato
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.
Neftali Prato was a registered financial professional .
Neftali is a previously registered financial professional and started their career in finance in 2004. Neftali had worked at 2 firms and has passed the Series 66, 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
November 7, 2005 - October 16, 2014
STATETRUST INVESTMENTS INC.
June 8, 2004 - July 27, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 5, 2004 - July 27, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
Current Firm
STATETRUST INVESTMENTS INC.
CRD#: 104651 / SEC#: , 8-52954
Contact information
FINRA licenses (23 States and Territories)
Disclosures
| Regulatory Event | 7 |
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.
