Richard J. Sanfratello
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.
Richard Joseph Sanfratello, who also goes by Rick Sanfratello, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2004. Richard had worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2024 - November 21, 2024
PRAIRIE CAPITAL MARKETS, LLC
April 7, 2014 - October 31, 2022
ALLSTATE FINANCIAL SERVICES, LLC
May 21, 2004 - July 6, 2004
WOLF CAPITAL LLC
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
PRAIRIE CAPITAL MARKETS, LLC
CRD#: 158309 / SEC#: , 8-68889
Contact information
FINRA licenses (4 States and Territories)
Documents
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.
