Andrew T. Prahl
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.
Andrew Thomas Prahl, who also goes by Andrew T Prahl, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 2010. Andrew had worked at 4 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
May 2, 2016 - November 8, 2017
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
May 2, 2016 - November 8, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
February 24, 2015 - May 7, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 23, 2015 - May 7, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 2, 2011 - December 31, 2014
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
November 2, 2011 - December 31, 2014
CAMBRIDGE INVESTMENT RESEARCH, INC.
June 20, 2011 - October 27, 2011
PRUCO SECURITIES, LLC.
March 15, 2010 - October 27, 2011
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
