Robert Prettyman
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.
Robert Prettyman, who also goes by Robert Brandon Prettyman, Brandon Prettyman, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2009. Robert had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2024 - September 30, 2024
PTS BROKERAGE, LLC
June 16, 2021 - July 20, 2021
KOVACK ADVISORS, INC.
July 25, 2019 - June 25, 2021
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
July 10, 2019 - July 11, 2019
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
July 10, 2019 - June 25, 2021
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 10, 2018 - June 17, 2019
HORNOR, TOWNSEND & KENT, LLC
February 10, 2009 - June 17, 2019
HORNOR, TOWNSEND & KENT, LLC
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
Current Firm
PTS BROKERAGE, LLC
CRD#: 119307 / SEC#: , 8-65173
Contact information
FINRA licenses (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 460 |
| AUM (Assets Under Management) | $ 106,900,000 |
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.
