NP
Nicholas R. Prangner
WORLD EQUITY GROUP
Houston, TX 77027
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CRD#: 5167436
NP
Professional summary
Nicholas Richardo Prangner, CFP®, who also goes by Nicholas R Prangner, is a registered financial advisor currently at WORLD EQUITY GROUP, INC. located in Houston, Texas.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Nicholas has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nicholas R Prangner
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.
1) Exponent Prosperity Accelerator Advisors LLC. Not Investment Related. 4801 Woodway Dr., Ste 305 West, Houston, TX 77056. Start Date: 11/30/2020. Business Devel. Director Financial Planning. Business development, transition and executive retention. Approx. Hrs/Mo: 80. Approx. Hrs/Mo during securities trading: 80. 2) Innovative Capital Assurance. Investment Related. 4801 Woodway Dr., Ste 305 West, Houston, TX 77056. Life, Health and Disability Insurance Sales and estate planning strategies for clients. Approx. Hrs/Mo: 50. Approx. Hrs/Mo during securities trading: 50.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Richardo Prangner's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Richardo Prangner'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®
CFP®
Start date: 2010
Experience
Current
November 18, 2020 - Present
WORLD EQUITY GROUP, INC.
Office #1: 1800 West Loop South Unit 1700, Houston, TX 77027RIA
BD
CRD#: 29087
Houston, TX
Current
November 18, 2020 - Present
WORLD EQUITY GROUP, INC.
Office #1: 1800 West Loop South Unit 1700, Houston, TX 77027RIA
BD
CRD#: 29087
Houston, TX
Past
June 17, 2011 - November 17, 2020
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
HOUSTON, TX
Past
October 14, 2008 - November 17, 2020
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
HOUSTON, TX
Past
July 11, 2008 - August 12, 2008
CRI SECURITIES, LLC
BD
CRD#: 22589
AUSTIN, TX
Past
June 27, 2008 - August 12, 2008
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
AUSTIN, TX
Past
August 3, 2006 - September 4, 2007
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
SCOTTSDALE, AZ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WE
WORLD EQUITY GROUP, INC.
COMPASS ASSET MANAGEMENT | WORLD EQUITY GROUP, INC. | UNITED FINANCIAL GROUP INC. | PRAXIS WEALTH MANAGEMENT | MIDWAY WEALTH PARTNERS | MARTIN JAMES INVESTMENT & TAX MANAGEMENT LLC | INFINITY WEALTH MANAGEMENT, LLC | FOUR POINTS ADVISORY
CRD#: 29087 / SEC#: 801-56328, 8-44088
RIA
Registered Investment Advisory firm - SEC (3/26/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(11/18/2020)
IAR
Arizona(11/30/2020)
IAR
Illinois(8/26/2022)
RR
Texas(11/18/2020)
IAR
Texas(11/18/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WE
WORLD EQUITY GROUP, INC.
COMPASS ASSET MANAGEMENT | WORLD EQUITY GROUP, INC. | UNITED FINANCIAL GROUP INC. | PRAXIS WEALTH MANAGEMENT | MIDWAY WEALTH PARTNERS | MARTIN JAMES INVESTMENT & TAX MANAGEMENT LLC | INFINITY WEALTH MANAGEMENT, LLC | FOUR POINTS ADVISORY
CRD#: 29087 / SEC#: 801-56328, 8-44088
RIA
Registered Investment Advisory firm - SEC (3/26/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
425 N Martingale Road Suite 1220, Schaumburg, IL 60173
Mailing Address
425 N Martingale Road Suite 1200, Schaumburg, IL 60173
Phone number
(847) 342-1700
Established
Illinois since 09/13/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
170
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,151 |
| AUM (Assets Under Management) | $ 944,844,374 |
Disclosures
| Regulatory Event | 12 |
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.
