Prescott W. Bamman

THORNTON FARISH

Montgomery, AL 36116

Some features on this profile are disabled

CRD#: 860903

Professional summary

Prescott Woodruff Bamman is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Prescott Woodruff Bamman's CRS (Customer Relationship Summary).

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

Current

January 2, 1979 - Present

THORNTON FARISH INC.

Office #1: 3500 Eastern Blvd., Suite 210, Montgomery, AL 36116Office #2: 3500 Eastern Blvd, Suite 210, Montgomery, AL 36116-1781

CRD#: 830

Montgomery, AL

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Texas
(3/9/1987)

Exams

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 50

Date: 2/8/2016

Municipal Advisor Representative Qualification Exam

General Industry/Product Exam

Series 7

Date: 12/16/1978

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 6/22/1989

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 53

Date: 3/7/1989

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/2/1982

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

THORNTON FARISH INC.

THORNTON FARISH INC. | THORNTON, FARISH & GAUNTT, INC. | THORNTON, FARISH & GAUNTT

CRD#: 830 / SEC#: , 8-37486

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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

3500 Eastern Blvd, Suite 210, Montgomery, AL 36116-1781

Mailing Address

3500 Eastern Blvd, Suite 210, Montgomery, AL 36116-1781

Phone number

(334) 270-8555

Established

Alabama since 04/01/1990

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (4 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

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.

Similar Advisors

Natalia Avila

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

SANTA CLARITA, CA

John Fricker

EQUITABLE ADVISORS, LLC

IAR

Ft. Lauderdale, FL

Moira Wilkins

J.P. MORGAN SECURITIES LLC

Moline, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Prescott W. Bamman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Prescott Woodruff Bamman's CRS (Customer Relationship Summary).

Certified licenses

Experience

State Registrations and Notice Filings

Exams

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 50

Date: 2/8/2016

Series 7

Date: 12/16/1978

Series 27

Date: 6/22/1989

Series 53

Date: 3/7/1989

Series 24

Date: 4/2/1982

FINRA

Current Firm

THORNTON FARISH INC.

Contact information

FINRA licenses (4 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

THORNTON FARISH INC.

TRUST BUT VERIFY

Similar Advisors