Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tyler? Claim Your ProfileTyler Pratt is a financial advisor with over 20 years of experience in the industry. Tyler currently works with Oppenheimer & Co. Inc. in their Newport Beach, CA office. Before joining Oppenheimer & Co. Inc. Tyler worked at RBC CAPITAL MARKETS, LLC. Tyler has a wide range of experience working with both individuals and businesses to develop financial plans that meet their needs. Tyler holds both Series 63 and Series 65 licenses, as well as Series 7 and SIE licenses. Tyler is registered in California and Texas.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
CA
05/19/2023 - Present
Oppenheimer & Co. Inc. (NEWPORT BEACH CA)
CA
05/16/2008 - 05/26/2023
RBC CAPITAL MARKETS, LLC (Rolling Hills CA)
IA
06/16/2004 - 07/27/2004
NATIONS FINANCIAL GROUP, INC. (CEDAR RAPIDS IA)
NY
02/20/2003 - 05/24/2004
S.W. BACH & COMPANY (PORT WASHINGTON NY)
NY
01/06/2003 - 03/03/2003
MAXIM GROUP LLC (NEW YORK NY)
NY
05/15/2001 - 08/06/2002
SANDS BROTHERS & CO., LTD. (NEW YORK NY)
BC
Issued 06/02/2008
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 07/12/2005
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 05/30/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/14/2008
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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