Nicholas V. Prendergast
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.
Nicholas Vincent Prendergast, who also goes by Nicholas V Prendergast, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 2005. Nicholas had worked at 4 firms and has passed the Series 63, SIE, Series 86, Series 87 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
October 26, 2016 - July 18, 2023
7M SECURITIES, LLC
January 2, 2013 - October 12, 2016
BB&T SECURITIES, LLC
June 15, 2011 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
June 29, 2007 - May 19, 2010
SIGNAL HILL CAPITAL GROUP LLC
April 8, 2005 - July 3, 2007
SCOTT & STRINGFELLOW, LLC
State Registrations and Notice Filings
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Exams
Current Firm
7M SECURITIES, LLC
CRD#: 153895 / SEC#: , 8-68587
Contact information
Documents
Red Flags
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