MP
Michael J. Prendergast
APA SECURITIES
New York, NY 10123
Some features on this profile are disabled
CRD#: 4962908
MP
Professional summary
Michael John Prendergast is a registered financial professional 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.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
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.
CRS (Client Relationship Summary) - BD
Click below to view Michael John Prendergast's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 15, 2005 - Present
APA SECURITIES, LLC
Office #1: 450 Seventh Avenue, Suite 905, New York, NY 10123Office #2: 920 Sylvan Avenue, Suite 240, Englewood Cliffs, NJ 07632BD
CRD#: 133615
New York, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/2/2007)
RR
Alaska(7/2/2007)
RR
Arizona(7/2/2007)
RR
Arkansas(7/2/2007)
RR
California(7/2/2007)
RR
Colorado(7/2/2007)
RR
Connecticut(7/2/2007)
RR
Delaware(7/2/2007)
RR
District of Columbia(7/2/2007)
RR
Florida(7/2/2007)
RR
Georgia(7/2/2007)
RR
Hawaii(7/2/2007)
RR
Idaho(7/2/2007)
RR
Illinois(7/2/2007)
RR
Indiana(7/2/2007)
RR
Iowa(7/2/2007)
RR
Kansas(7/2/2007)
RR
Kentucky(7/2/2007)
RR
Louisiana(7/2/2007)
RR
Maine(7/2/2007)
RR
Maryland(7/2/2007)
RR
Massachusetts(7/2/2007)
RR
Michigan(7/2/2007)
RR
Minnesota(7/2/2007)
RR
Mississippi(7/2/2007)
RR
Missouri(7/2/2007)
RR
Montana(7/2/2007)
RR
Nebraska(7/2/2007)
RR
Nevada(7/2/2007)
RR
New Hampshire(7/2/2007)
RR
New Jersey(7/2/2007)
RR
New Mexico(7/2/2007)
RR
New York(7/2/2007)
RR
North Carolina(7/2/2007)
RR
North Dakota(7/2/2007)
RR
Ohio(7/2/2007)
RR
Oklahoma(7/2/2007)
RR
Oregon(7/2/2007)
RR
Pennsylvania(7/2/2007)
RR
Puerto Rico(7/2/2007)
RR
Rhode Island(7/2/2007)
RR
South Carolina(7/2/2007)
RR
South Dakota(7/2/2007)
RR
Tennessee(7/2/2007)
RR
Texas(7/2/2007)
RR
Utah(7/2/2007)
RR
Vermont(7/2/2007)
RR
Virginia(7/2/2007)
RR
Washington(7/2/2007)
RR
West Virginia(7/2/2007)
RR
Wisconsin(7/2/2007)
RR
Wyoming(7/2/2007)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AS
APA SECURITIES, LLC
APA SECURITIES, LLC | UPRR SECURITIES, LLC | SHAREHOLDER SOLUTIONS (ACS), LLC | KEANE FINANCIAL, LLC
CRD#: 133615 / SEC#: , 8-66745
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
920 Sylvan Avenue, Suite 240, Englewood Cliffs, NJ 07632
Mailing Address
920 Sylvan Avenue, Suite 240, Englewood Cliffs, NJ 07632
Phone number
(212) 971-3333
Established
Delaware since 07/30/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 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.
