Michael John Prendergast
Professional Summary
Michael John Prendergast is a registered financial advisor currently at APA SECURITIES, LLC located in New York, New York. Michael is registered as a RR (Registered Representative) and started their career in finance in 2005. Michael has worked at 1 firm and has passed the Series 66, Series 99TO, SIE, Series 7, Series 14, Series 27 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
21 years in the financial services industry
Current & Past Employments
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Current Firm
APA SECURITIES, LLC | UPRR SECURITIES, LLC | SHAREHOLDER SOLUTIONS (ACS), LLC | KEANE FINANCIAL, LLC
Contact Information
Main Address
920 Sylvan Avenue, Suite 240, Englewood Cliffs, NJ 07632Mailing Address
920 Sylvan Avenue, Suite 240, Englewood Cliffs, NJ 07632Phone Number
(212) 971-3333Established
Delaware since 07/30/2004Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Michael John Prendergast's CRS (Customer Relationship Summary).
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