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Jack Donald Prosen

CRD# 602137·Registered 1967 - 1987
Previously Registered: Being a previously registered professional could mean that Jack 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.

Professional Summary

Jack Donald Prosen was a registered financial advisor. Jack was a previously registered financial professional and started their career in finance 1967 - 1987. Jack had worked at 18 firms and has passed the Series 24 exam.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

59 years in the financial services industry

Current & Past Employments

IRONWOOD SECURITIES, INC.·CRD# 13543
BD
June 4, 1986 - December 8, 1987
NEMETZ CAPITAL CORP.·CRD# 10961
BD
June 15, 1984 - April 15, 1986
CHURCHILL INVESTMENT CORPORATION·CRD# 13262
BD
May 7, 1984 - May 15, 1984
JACK D. PROSEN, INC.·CRD# 13350
BD
March 21, 1983 - August 16, 1984
BOARDWALK CAPITAL CORPORATION·CRD# 10279
BD
April 26, 1982 - December 21, 1982
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES·CRD# 4039
BD
October 9, 1981 - February 10, 1982
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
June 22, 1978 - May 7, 1981
MORGAN STANLEY DW INC.·CRD# 7556
BD
February 24, 1978 - July 5, 1978
DEAN WITTER & CO. INCORPORATED·CRD# 6466
BD
September 14, 1977 - February 24, 1978
DREXEL BURNHAM LAMBERT INCORPORATED·CRD# 7323
BD
April 19, 1977 - October 25, 1977
STERN, FRANK, MEYER & FOX, INCORPORATED·CRD# 790
BD
June 18, 1976 - August 16, 1977
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED·CRD# 640
BD
January 29, 1976 - June 29, 1976
THOMSON MCKINNON SECURITIES INC.·CRD# 829
BD
July 8, 1974 - January 2, 1976
W. E. HUTTON & CO.·CRD# 861
BD
September 14, 1973 - August 19, 1975
DOMIK CORP.·CRD# 223
BD
July 25, 1972 - November 29, 1973
WEIS SECURITIES, INC.·CRD# 880
BD
June 1, 1972 - August 20, 1972
CBWL HAYDEN STONE INC·CRD# 1000002
BD
April 16, 1971 - June 22, 1972
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED·CRD# 76
BD
June 12, 1967 - March 19, 1971

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Current Firm

IS
IRONWOOD SECURITIES, INC.

ALD SECURITIES,INC. | IRONWOOD SECURITIES, INC.

CRD#: 13543 / SEC#: 8-29427
BD
Cancelled by FINRA on 12/09/1988

Contact Information

Established

Colorado since 09/17/1979

Firm Type

Corporation

Documents

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 24 — General Securities Principal Examination

Passed Dec 1982About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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