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JW

James P. Wyser-pratte

WYSER-PRATTE & CO.
Mt. Kisco, NY 10549
Some features on this profile are disabled
CRD#: 6722098
JW

Professional summary

James Peter Wyser-pratte, who also goes by Jamie Wyser-pratte, is a registered financial professional currently at WYSER-PRATTE & CO., INC. located in Mt. Kisco, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 2016. James has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jamie Wyser-Pratte

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Peter Wyser-pratte's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

December 21, 2016 - Present

WYSER-PRATTE & CO., INC.

Office #1: 100 S. Bedford Road, Suite 312, Mt. Kisco, NY 10549
BD
CRD#: 28056
Mt. Kisco, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(3/19/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/19/2019
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/21/2016
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

W&
WYSER-PRATTE & CO., INC.
WYSER-PRATTE & CO., INC.

CRD#: 28056 / SEC#: , 8-43418

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
100 S. Bedford Road, Suite 312, Mt. Kisco, NY 10549
Mailing Address
100 S. Bedford Road, Suite 312, Mt. Kisco, NY 10549
Phone number
(843) 819-1792
Established
New York since 01/02/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
THE 2019 GWP IRREVOCABLE TRUST U/T/A JUNE 5, 2019SOLE SHAREHOLDER
PRINCIPI, SCOTTCEO, CCO4958133
SALABASCHEW, ATANASDIRECTOR/TRUSTEE7288023
SPINDEL, HOWARDCHIEF FINANCIAL OFFICER/FINOP708042

Disclosures

Regulatory Event3

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.

Company Information

WYSER-PRATTE & CO., INC.

CRD#: 28056Mt. Kisco, NY 10549

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