Prescott Woodruff Bamman
Professional Summary
Prescott Woodruff Bamman is a registered financial advisor currently at THORNTON FARISH INC. located in Montgomery, Alabama. Prescott is registered as a RR (Registered Representative) and started their career in finance in 1979. Prescott has worked at 1 firm and has passed the Series 99TO, Series 52TO, Series 79TO, SIE, Series 50, Series 7, Series 27, Series 53 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
47 years in the financial services industry
Current & Past Employments
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Current Firm
THORNTON FARISH INC. | THORNTON, FARISH & GAUNTT, INC. | THORNTON, FARISH & GAUNTT
Contact Information
Main Address
3500 Eastern Blvd, Suite 210, Montgomery, AL 36116-1781Mailing Address
3500 Eastern Blvd, Suite 210, Montgomery, AL 36116-1781Phone Number
(334) 270-8555Established
Alabama since 04/01/1990Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (4 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAMMAN, PRESCOTT WOODRUFF | PRESIDENT | 860903 |
| BAMMAN, PRESCOTT WOODRUFF | CHIEF FINANCIAL OFFICER | 860903 |
| CARDINAL, LOUIS CHARLES | EXECUTIVE VICE PRESIDENT | 716540 |
| WHITEHEAD, JOSEPH ANTHONY JR | EXECUTIVE VICE PRESIDENT & CHIEF COMPLIANCE OFFICER | 865409 |
| RUSSELL, SARAH DETLING | CHIEF FINANCIAL OFFICER | 6727189 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(3/9/1987)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 50 — Municipal Advisor Representative Qualification Exam
Passed Feb 2016About the Series 50 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Prescott Woodruff Bamman's CRS (Customer Relationship Summary).
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