Michael A. Prentice
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.
Michael Allen Prentice was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2012. Michael had worked at 3 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 30, 2014 - December 6, 2016
ADAMS FINANCIAL CONCEPTS, LLC
October 16, 2012 - October 7, 2013
OSAIC SERVICES, INC.
September 17, 2012 - October 7, 2013
OSAIC SERVICES, INC.
February 23, 2012 - August 3, 2012
WADDELL & REED
January 23, 2012 - August 3, 2012
WADDELL & REED
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
ADAMS FINANCIAL CONCEPTS, LLC
CRD#: 134545 / SEC#: 801-122916
Contact information
Regulatory assets under management
| Total Number of Accounts | 150 |
| AUM (Assets Under Management) | $ 79,724,847 |
Red Flags
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