Individual Firm
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MARK JOHN PRATT
CRD#: 1345655
IA
B
EAGLE STRATEGIES LLCCRD#: 110826 1756 PICASSO AVE
SUITE B
DAVIS, CA 95618
SUITE B
DAVIS, CA 95618
NYLIFE SECURITIES LLCCRD#: 5167 1756 PICASSO AVE
SUITE B
DAVIS, CA 95618
SUITE B
DAVIS, CA 95618
View By:
2/25/2016
Customer Dispute
Settled
State Registrations
B
Arizona 3/18/2003
B
North Carolina 1/23/2018
B
Arkansas 9/2/2022
B
Ohio 4/25/2022
B
California 11/19/2001
B
Oregon 4/4/2003
IA
California 7/13/2009
B
Rhode Island 5/6/2004
B
Colorado 8/26/2013
B
South Carolina 4/29/2020
B
Florida 8/10/2018
B
Tennessee 7/10/2024
B
Hawaii 3/24/2017
B
Texas 6/11/2013
B
Idaho 10/2/2020
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Texas 3/5/2020
B
Montana 11/23/2021
B
Utah 9/8/2011
B
Nebraska 6/14/2024
B
Virginia 12/26/2020
B
Nevada 2/18/2014
B
Washington 1/28/2008
B
New Jersey 8/29/2023
SRO Registrations
B
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IA
Registered with this firm since 7/13/2009
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Registered with this firm since 11/19/2001
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 07/17/1996 - 11/08/2001 | SACRAMENTO, CA | |
B | 06/21/1996 - 07/02/1996 | SAN FRANCISCO, CA | |
B | 11/29/1994 - 07/02/1996 | ||
B | 03/29/1995 - 11/15/1995 | NAPA, CA | |
B | 08/09/1989 - 11/07/1994 | BOSTON, MA | |
B | 01/12/1988 - 10/31/1988 | ||
B | 04/24/1985 - 01/07/1988 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.