Casey M. Prostko
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.
Casey Marie Prostko, CFP®, who also goes by Casey Marie Nichols, was a registered financial professional .
Casey is a previously registered financial professional and started their career in finance in 2017. Casey had worked at 2 firms and has passed the Series 66, SIE 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
Start date: 2019
Experience
January 7, 2019 - May 24, 2021
CAPITAL ONE INVESTING, INC.
May 10, 2017 - December 4, 2018
MORGAN STANLEY
March 27, 2017 - December 4, 2018
MORGAN STANLEY
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
CAPITAL ONE INVESTING, INC.
CRD#: 285084 / SEC#: 801-111630
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,089 |
| AUM (Assets Under Management) | $ 920,140,975 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2022 |
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.
