Unclaimed Profile

Peter Douglas Prescott

PRESCOTT MANAGEMENT, INC.·SAN JUAN CAPISTRANO, California

SIE, Series 7, Series 22, Series 24, Series 51, Series 63, Series 66PFSClean record28 years registeredPRESCOTT MANAGEMENT, INC.

30950 RANCHO VIEJO ROAD, SAN JUAN CAPISTRANO, CA 92675CRD# 1283441Firm CRD# 331654

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Peter Douglas Prescott · SAN JUAN CAPISTRANO, CA

Registration

CRD #1283441 · PRESCOTT MANAGEMENT, INC. · 28 years registered

Brand Profile

Not yet started

Career History

INDEPENDENT FINANCIAL GROUP, LLC

Jan 2010 – present

FINANCIAL NETWORK INVESTMENT CORPORATION

Nov 2008 – Dec 2009

SAN JUAN CAPISTRANO, CA

AIG FINANCIAL ADVISORS, INC.

Oct 2005 – Nov 2008

SAN JUAN CAPISTRANO, CA

SPELMAN & CO INC

Apr 1998 – Oct 2005

SAN JUAN CAPISTRANO, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 22

Series 24

Series 51

Series 63

Series 66

Registration record

First registered · April 1, 1998

Years registered · 28

Professional designation · PFS

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

PRESCOTT MANAGEMENT, INC.

CRD 331654 · SEC 801-130803

AUM

—

Regulatory assets under management

Employees

Total firm employees

Services offered by PRESCOTT MANAGEMENT, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at PRESCOTT MANAGEMENT, INC. →

Introduction

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Frequently Asked Questions

What services does Peter Douglas Prescott offer?

Peter Douglas Prescott specializes in Financial Planning, Investment Management. Contact their office in SAN JUAN CAPISTRANO, California for a consultation.

What are Peter Douglas Prescott's credentials?

Peter Douglas Prescott holds the following professional designations: PFS. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Peter Douglas Prescott located?

Peter Douglas Prescott is based in SAN JUAN CAPISTRANO, California, working with PRESCOTT MANAGEMENT, INC.. Their office serves clients in the SAN JUAN CAPISTRANO metropolitan area and surrounding communities.

How does Peter Douglas Prescott charge for services?

Peter Douglas Prescott's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is PRESCOTT MANAGEMENT, INC.?

PRESCOTT MANAGEMENT, INC. has approximately 2 employees. The firm is registered with the SEC as an investment adviser.

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