AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RP

Robert L. Prescott

Some features on this profile are disabled
CRD#: 733359
RP

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.

Robert Lawrence Prescott JR, who also goes by Bob Prescott Jr, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1981. Robert had worked at 5 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bob Prescott Jr

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

October 4, 1993 - April 2, 1999

ESSEX FINANCIAL SERVICES, INC.

BD
CRD#: 19627
MONTGOMERY, AL
Past

October 3, 1991 - September 23, 1993

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

June 25, 1990 - September 25, 1991

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

May 18, 1988 - July 3, 1990

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN
Past

June 23, 1981 - April 23, 1988

HAND INVESTMENT COMPANY, INC.

BD
CRD#: 7971

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: 4/26/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/20/1981
General Securities Representative Examination

Current Firm

EF
ESSEX FINANCIAL SERVICES, INC.
ESSEX FINANCIAL SERVICES, INC.

CRD#: 19627 / SEC#: , 8-37936

BD
Terminated by SEC on 08/07/2001
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
Georgia since 01/21/1987
Firm type
Corporation
Fiscal year end
May
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FITZPATRICK, CLEMENTS TRANUM JRSTOCKHOLDER
CARTER, TROY HOLMANPRESIDENT/STOCKHOLDER/DIRECTOR42207
ALDAG, EDWARD KARL JRSTOCKHOLDR2047820
JORDAN, WILLIAM WSTOCKHOLDER
MCPHERSON, MARGARET WVICE PRESIDENT2126747
RICE, CHARLES JEFFREYSTOCKHOLDER
SIMPLER, JEANETTE HOPKINSCOMPLIANCE OFFICER2702782
UPCHURCH, HOWARD BURTONDIRECTOR/STOCKHOLDER

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

ESSEX FINANCIAL SERVICES, INC.

CRD#: 19627

TRUST BUT VERIFY

Monitor Robert Prescott

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.