Brian Prendergast
Professional summary
Brian Prendergast was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Brian is a previously registered financial professional and started their career in finance in 1976. Prior to being barred, Brian had worked at 14 firms, which includes AMERINATIONAL FINANCIAL SERVICES INC., SECURITIES AMERICA INC., KAVANAUGH SECURITIES INC., INTERCAP FINANCIAL CORPORATION, CETERA ADVISORS LLC, CHRISTOPHER WEIL & COMPANY INC, HICKEY KOBER INCORPORATED, CONSOLIDATED INVESTMENT SERVICES INC., SOUTHMARK FINANCIAL SERVICES INC., WOODBURY FINANCIAL SERVICES INC., VERAVEST INVESTMENTS INC., THE LINCOLN NATIONAL LIFE INSURANCE COMPANY, OSAIC FA INC., J B HANAUER & CO.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 1993 - November 8, 1994
AMERINATIONAL FINANCIAL SERVICES, INC.
July 19, 1991 - October 14, 1993
SECURITIES AMERICA, INC.
January 14, 1991 - June 3, 1991
KAVANAUGH SECURITIES, INC.
February 21, 1990 - November 5, 1990
INTERCAP FINANCIAL CORPORATION
October 8, 1986 - January 9, 1990
CETERA ADVISORS LLC
August 8, 1985 - August 14, 1986
CHRISTOPHER WEIL & COMPANY, INC
February 25, 1985 - August 26, 1985
HICKEY, KOBER, INCORPORATED
May 14, 1979 - June 6, 1984
CONSOLIDATED INVESTMENT SERVICES, INC.
October 31, 1978 - May 27, 1979
SOUTHMARK FINANCIAL SERVICES, INC.
July 19, 1978 - October 11, 1978
WOODBURY FINANCIAL SERVICES, INC.
March 7, 1977 - September 1, 1978
VERAVEST INVESTMENTS, INC.
August 17, 1976 - March 18, 1977
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 17, 1976 - March 18, 1977
OSAIC FA, INC.
July 21, 1976 - August 17, 1976
J B HANAUER & CO
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 1
Date: 8/13/1976
Registered Representative ExaminationSeries 40
Date: 4/27/1979
Registered Principal ExaminationCurrent Firm
AMERINATIONAL FINANCIAL SERVICES, INC.
CRD#: 27986 / SEC#: , 8-43361
Contact information
Documents
Red Flags
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