Abhishek Prasad
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.
Abhishek Prasad was a registered financial professional .
Abhishek is a previously registered financial professional and started their career in finance in 2008. Abhishek had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2016 - September 29, 2020
MODERN CAPITAL ADVISORS, LLC
January 23, 2014 - September 29, 2020
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
October 2, 2008 - January 22, 2014
NSM SECURITIES, INC.
Primary Firm SEC Registration
MODERN CAPITAL ADVISORS, LLC
CRD#: 131117 / SEC#: 801-72611
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
Series 62
Date: 6/16/2008
Corporate Securities Limited Representative ExaminationCurrent Firm
MODERN CAPITAL ADVISORS, LLC
CRD#: 131117 / SEC#: 801-72611
Contact information
SEC notice filing (37 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,561 |
| AUM (Assets Under Management) | $ 285,401,221 |
Red Flags
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