Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Prashant? Claim Your ProfilePrashant Nagindas Mody has been in the financial services industry since February 2000. Currently, Prashant Mody is a Registered Representative with A.G.P. / Alliance Global Partners. Prashant Mody is registered with the state of New Jersey, New York, and Texas. Prior to this, Prashant Mody was registered with AEGIS CAPITAL CORP., E1 ASSET MANAGEMENT, INC., PHD CAPITAL, and PRIME CHARTER LTD.. Prashant Mody is also a Registered Investment Advisor in the state of New Jersey, New York, and Texas. Prashant Mody has passed the Series 63, 65, 7 and 24 exams.
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.
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.
A percentage of the total value of assets under management is charged.
Sub-adviser of pooled investment vehicle charges a performance f
1
2
NY
02/09/2021 - Present
A.g.p. / Alliance Global Partners (New York NY)
NY
11/11/2011 - 02/09/2021
AEGIS CAPITAL CORP. (NEW YORK NY)
NY
08/06/2002 - 11/07/2011
E1 ASSET MANAGEMENT, INC. (NEW YORK NY)
NY
06/07/2000 - 08/05/2002
PHD CAPITAL (NEW YORK NY)
NY
01/05/2000 - 05/12/2000
PRIME CHARTER LTD. (NEW YORK NY)
IA
Issued 05/10/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/18/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/11/2006
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/04/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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