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Alison Lynn Prager

Barclays Capital Inc.

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About Alison Lynn Prager

Alison Prager has been in the financial industry since April 18, 1985. Alison is currently registered with Barclays Capital Inc. and is licensed in all 50 states and the District of Columbia. Alison has previously worked at BANC OF AMERICA SECURITIES LLC, PIPER JAFFRAY & CO., MELLON SECURITIES LLC, GRUNTAL & CO., L.L.C., GOLDMAN, SACHS & CO., and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Alison has a strong track record of success in the financial industry and is committed to providing her clients with the highest level of service.

Firm Information

Alison Prager is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Alison Prager’s Registration & Firm History

NY

08/25/2008 - Present

Barclays Capital Inc. (NEW YORK NY)

NY

03/07/2005 - 11/28/2007

BANC OF AMERICA SECURITIES LLC (NEW YORK NY)

MN

01/12/2004 - 12/31/2004

PIPER JAFFRAY & CO. (MINNEAPOLIS MN)

NJ

08/31/2001 - 12/19/2003

MELLON SECURITIES LLC (JERSEY CITY NJ)

NY

09/22/1999 - 08/21/2001

GRUNTAL & CO., L.L.C. (NEW YORK NY)

NY

04/05/1996 - 01/08/1999

GOLDMAN, SACHS & CO. (NEW YORK NY)

NY

05/26/1983 - 01/24/1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 07/02/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/12/2003

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/21/1983

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Alison Lynn Prager.
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