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JP

Judith L. Prager

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CRD#: 726910
JP

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.

Judith Linda Prager, who also goes by Judy Linda Prager, was a registered financial professional .

Judith is a previously registered financial professional and started their career in finance in 1981. Judith had worked at 7 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 7, Series 14, Series 27, Series 24 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Judy Linda Prager

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)

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

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

Past

January 4, 2018 - June 3, 2021

LEDGER CAPITAL MARKETS, LLC

BD
CRD#: 289140
Brooklyn, NY
Past

July 17, 2008 - January 12, 2016

JARDINE LLOYD THOMPSON CAPITAL MARKETS INC

BD
CRD#: 146485
PHILADELPHIA, PA
Past

July 18, 2003 - June 28, 2006

FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC

BD
CRD#: 10485
NEW YORK, NY
Past

August 30, 1996 - March 28, 2008

SWISS RE CAPITAL MARKETS CORPORATION

BD
CRD#: 39978
NEW YORK, NY
Past

June 22, 1995 - March 13, 1996

CSFP CAPITAL, INC.

BD
CRD#: 31796
NEW YORK, NY
Past

January 19, 1982 - November 24, 1987

PETRO-LEWIS SECURITIES CORPORATION

BD
CRD#: 5169
Past

March 23, 1981 - December 20, 1981

J DANIEL BELL & COMPANY, INC.

BD
CRD#: 6615

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/16/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/30/2024
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 3/30/2024
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/21/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 3/30/2024
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 27
Date: 3/30/2024
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/30/2024
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/30/2024
Registered Options Principal Examination

Current Firm

LC
LEDGER CAPITAL MARKETS, LLC
LEDGER CAPITAL MARKETS, LLC

CRD#: 289140 / SEC#: , 8-69983

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

Main Address
75 Rockefeller Plaza Suite 24c, New York, NY 10104
Mailing Address
228 Park Avenue S Pmb 58179, New York, NY 10003-1502
Phone number
(202) 365-3175
Established
Delaware since 06/09/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
LEDGER INVESTING, INC.SOLE MEMBER
HARRIS, PATRICK EUGENECCO5748909
SHAH, SAMIRCEO6824841
SILVESTRO, MICHELEFINOP6960939

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

LEDGER CAPITAL MARKETS, LLC

CRD#: 289140

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