CHARLES PRATT & COMPANY, L.L.C. ⚠ Disclosure events ACTIVE IA
⚠ Regulatory disclosure flag: FINRA reports regulatory or customer-dispute disclosure events for this firm. The specific details (regulatory actions, arbitrations, customer complaints, criminal events) live on the canonical BrokerCheck page. This flag is the KYC tripwire that institutional vendors charge for.
Key facts
- FINRA firm ID
- 104864
- Firm name
- CHARLES PRATT & COMPANY, L.L.C.
- Other names / DBAs
- CHARLES PRATT & COMPANY, L.L.C.; PRATT CHARLES & CO LLC
- IA scope
- ACTIVE
- SEC IA file
- 801-20651
- Branches
- 1
- Disclosure events
- YES
- HQ
- NEW YORK, NY, 10020-1703, United States
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