Daniel M. Prescott
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.
Daniel Marshall Prescott was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1977. Daniel had worked at 10 firms and has passed the Series 65, Series 63, PC 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
October 16, 2003 - January 31, 2020
PRESCOTT CAPITAL MANAGEMENT, INC.
December 20, 1999 - March 28, 2002
UBS FINANCIAL SERVICES INC.
January 11, 1995 - December 21, 1999
MORGAN STANLEY DW INC.
February 4, 1991 - January 4, 1995
CIBC WORLD MARKETS CORP.
March 23, 1990 - February 1, 1991
OPPENHEIMER & CO. INC.
June 26, 1989 - March 23, 1990
B.C. CHRISTOPHER SECURITIES CO.
April 11, 1988 - July 19, 1989
LEHMAN BROTHERS INC.
January 18, 1983 - April 11, 1988
E. F. HUTTON & COMPANY INC
December 30, 1977 - February 2, 1983
DREXEL BURNHAM LAMBERT INCORPORATED
June 1, 1977 - January 19, 1978
STIFEL, NICOLAUS & COMPANY, INCORPORATED
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
PC
Date: 5/21/1977
AMEX Put and Call ExamCurrent Firm
PRESCOTT CAPITAL MANAGEMENT, INC.
CRD#: 128601 / SEC#:
Contact information
Red Flags
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