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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Peter? Claim Your ProfilePeter Douglas Prescott is a financial advisor with Independent Financial Group, LLC. Peter has been in the financial industry for over 35 years and has a strong track record of providing comprehensive financial planning and investment management services to individuals, families, businesses, and retirement plans. Peter holds a number of professional designations including Certified Public Accountant (CPA) and Personal Financial Specialist (PFS). Peter is also a registered representative with FINRA and a registered investment advisor in several states.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
10/10/2018 - Present
Independent Financial Group, LLC (SAN JUAN CAPISTRANO CA)
CA
11/07/2008 - 12/31/2009
FINANCIAL NETWORK INVESTMENT CORPORATION (SAN JUAN CAPISTRANO CA)
CA
10/31/2005 - 11/12/2008
AIG FINANCIAL ADVISORS, INC. (SAN JUAN CAPISTRANO CA)
AZ
10/22/1997 - 10/31/2005
SPELMAN & CO., INC. (PHOENIX AZ)
CA
07/29/1997 - 05/19/1998
GIRARD SECURITIES, INC. (SAN DIEGO CA)
MA
01/30/1997 - 06/30/1997
COLONIAL INVESTMENT SERVICES, INC. (BOSTON MA)
FL
08/16/1991 - 01/29/1997
PACIFIC FINANCIAL ASSOCIATES, INC. (PARKLAND FL)
CT
10/14/1994 - 11/22/1995
THE MANAGERS FUNDS L.P. (STAMFORD CT)
OH
11/23/1992 - 06/10/1993
TOUCHSTONE SECURITIES, INC. (CINCINNATI OH)
NY
11/27/1991 - 02/24/1992
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NA
06/08/1987 - 04/17/1991
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
NA
07/05/1985 - 12/13/1986
ANGELES/QUINOCO SECURITIES, INC.
NA
01/01/1985 - 06/28/1985
FIRST REALTY RESERVE INC
BOTH
Issued 01/21/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/15/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/22/2003
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 09/05/1989
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/17/1986
Series 7 - General Securities Representative Examination
BC
Issued 08/21/1984
Series 22 - Direct Participation Programs Representative Examination
Active
Inactive
F
FINRA
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