Nicholas R. Prendergast
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.
Nicholas Robert Prendergast was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1980. Nicholas had worked at 12 firms and has passed the Series 66, Series 63, Series 55 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
September 28, 2011 - April 5, 2012
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - April 5, 2012
CHASE INVESTMENT SERVICES CORP.
May 7, 2008 - May 2, 2009
WAMU INVESTMENTS, INC.
June 19, 2007 - May 5, 2008
CAPITAL ONE INVESTMENT SERVICES LLC
November 3, 2005 - May 12, 2006
ATP TRADING LLC
March 10, 2004 - March 21, 2005
DIVINE CAPITAL MARKETS LLC
October 28, 2003 - January 26, 2004
PROGRESSIVE SECURITIES CORP.
September 13, 2002 - December 3, 2002
TRADITION SECURITIES AND DERIVATIVES LLC
September 6, 2002 - September 12, 2002
EARLYBIRDCAPITAL, INC.
November 23, 1983 - May 17, 1985
J.P. MORGAN SECURITIES LLC
May 19, 1982 - December 2, 1982
GRUNTAL & CO., L.L.C.
October 16, 1981 - June 2, 1982
DRYSDALE SECURITIES CORPORATION
January 21, 1980 - April 8, 1982
CIBC WORLD MARKETS CORP.
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
Series 55
Date: 9/5/2002
Limited Representative-Equity Trader ExamCurrent Firm
CHASE INVESTMENT SERVICES CORP.
CRD#: 25574 / SEC#: 801-36407, 8-41840
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANC ONE CAPITAL HOLDINGS LLC | DIRECT OWNER | |
| ADITYA, MAHESH CHATTA | BOARD MEMBER | 5586574 |
| CHABOT, ALAN JAMES | PRESIDENT & CEO, BOARD MEMBER | 2617874 |
| DAVIS, JAMES HUBER | CHIEF OPERATIONS OFFICER | 4166100 |
| DEEGAN, DANIEL ROBERT | EXECUTIVE VICE PRESIDENT | 1143339 |
| DURKEE, JEFFREY WILLIS | EXECUTIVE VICE PRESIDENT | 1009266 |
| GINDI, SOL | CFO, BOARD MEMBER | 4903526 |
| GRAY, ANNE LOUISE | SENIOR VICE PRESIDENT | 1779722 |
| HAIGIS, PHILIP HOWARD JR. | EXECUTIVE VICE PRESIDENT | 4340276 |
| JULIAN, BETH WILSON | EXECUTIVE VICE PRESIDENT | 1071047 |
| KLEINBAUM, GREGG ADAM | EXECUTIVE VICE PRESIDENT | 2555215 |
| MARTIN, KEVIN LEE | EXECUTIVE VICE PRESIDENT | 2742022 |
| PANTALEO, LAURA ANN | EXECUTIVE VICE PRESIDENT | 1501065 |
| QUINN, JOHN P | EXECUTIVE VICE PRESIDENT,NATIONAL SALES DIRECTOR | 5631540 |
| REED, JAMIE MATTHEW | EXECUTIVE VICE PRESIDENT | 2797383 |
| SKARDA, JOSEPH BRIEL | EXECUTIVE VICE PRESIDENT | 4288186 |
| TEPPER, ERIC DAVID | EXECUTIVE VICE PRESIDENT | 2242377 |
| WILBURN, DOUGLAS FREDERICK | CHIEF COMPLIANCE OFFICER | 1407686 |
Disclosures
| Regulatory Event | 62 |
| Arbitration | 19 |
Red Flags
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