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Dean Anthony Prainito

Daiwa Capital Markets America Inc.

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About Dean Anthony Prainito

Dean Anthony Prainito is a financial professional with over 25 years of experience in the industry. Dean is currently registered with Daiwa Capital Markets America Inc. Dean holds a variety of licenses and designations, including Series 6, 7, 24, 52TO, 53, 63, and 72, and is licensed to practice in 26 states. Dean has a strong track record of success in the financial services industry and is committed to providing his clients with personalized, high-quality advice.

Firm Information

Dean Prainito is currently registered with Daiwa Capital Markets America Inc.. Daiwa Capital Markets America Inc. is a corporation formed on December 8, 1964, and is registered in all 50 U.S. states, the District of Columbia, and Puerto Rico. The firm has been approved by the SEC and has a total of 53 registrations.

Not reported

Assets Under Management

Not reported

Total Clients

69

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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Dean Prainito’s Registration & Firm History

NY

01/19/2021 - Present

Daiwa Capital Markets America Inc. (NEW YORK NY)

NY

08/05/2009 - 12/21/2020

SUSQUEHANNA FINANCIAL GROUP, LLLP (NEW YORK NY)

NY

01/07/2005 - 08/05/2009

FTN FINANCIAL SECURITIES CORP (WESTBURY NY)

NY

07/20/1998 - 01/07/2005

SPEAR, LEEDS & KELLOGG, L.P. (NEW YORK NY)

NY

07/20/1998 - 03/23/1999

BURLINGTON SECURITIES CORP. (NEW YORK NY)

NY

07/11/1997 - 04/15/1998

NATWEST SECURITIES CORPORATION (NEW YORK NY)

NY

02/10/1997 - 06/11/1997

THE DREYFUS SERVICE CORPORATION (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/06/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/11/2005

Series 53 - Municipal Securities Principal Examination

BC

Issued 04/26/2005

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 72 - Government Securities Representative Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/04/1997

Series 7 - General Securities Representative Examination

BC

Issued 11/03/1995

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Dean Anthony Prainito.
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