Individual Firm
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Douglas James Prahl
DOUG PRAHL
CRD#: 2816959
IA
B
EDWARD JONESCRD#: 250 1125 CEDAR ST SUITE 112
MONTICELLO, MN 55362
MONTICELLO, MN 55362
View By:
5/31/2000
Customer Dispute
Denied
State Registrations
B
Alabama 3/4/2010
B
Nevada 2/5/2008
B
Arizona 10/25/2013
B
New York 1/8/2025
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Arizona 11/2/2022
B
North Dakota 5/28/2013
B
Colorado 11/11/2004
B
Ohio 6/15/2010
B
Florida 3/6/2014
B
South Dakota 6/9/2021
B
Georgia 10/14/2014
B
Tennessee 7/4/2022
B
Iowa 6/10/2019
B
Texas 9/8/2008
B
Minnesota 11/13/1998
IA
Texas 8/26/2014
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Minnesota 11/20/2013
B
Washington 6/9/2006
B
Missouri 6/30/2023
B
Wisconsin 1/3/2005
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 9/14/2007
B
Registered with this firm since 11/12/1998
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 04/16/1998 - 11/09/1998 | RALEIGH, NC | |
B | 10/17/1997 - 07/29/1998 | CHARLOTTE, NC | |
B | 11/06/1996 - 05/15/1997 | NEWARK, NJ |
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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.