Peter Douglas Prescott

Current Employers

Employment History

• 01/2010 → Present
  Independent Financial Group
  San Diego, CA
• 08/2023 → Present
  Prescott Real Estate Services Inc.
  San Juan Capistrano, CA

Previous Registrations

• 2008-11-17 → 2009-12-31
  Cetera Wealth Services, Llc
  Oakland, CA
  San Juan Capistrano, CA
• 2005-10-31 → 2008-11-12
  Osaic Services, Inc.
  San Juan Capistrano, CA
• 1998-04-01 → 2005-10-31
  Spelman & Co., Inc.
  San Juan Capistrano, CA

Other Businesses

(1) INSURANCE AGENT POSITION: Agent/Representative NATURE: Insurance outside of IFG INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 09/01/1987 ADDRESS: 30950 Rancho Viejo Road, Suite 100, San Juan Capistrano CA 92675, United States DESCRIPTION: CA INSURANCE AGENT OFFERING VARIOUS TYPES OF INSURANCE PRODUCTS. (2) RENTAL PROPERTY POSITION: Managing Member in Single Member LLC NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/17/2012 ADDRESS: 35402 Camino Capistrano, Dana Point CA 92624, United States DESCRIPTION: 100% OWNER OF RENTAL PROPERTY. (3) SOUTH COUNTY PROPERTY INVESTMENTS, LLC POSITION: Member and Manager. NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/09/2019 ADDRESS: 30310 Rancho Viejo Road, San Juan Capistrano CA 92675, United States DESCRIPTION: 14.29% owner of the LLC which owns two commercial office buildings in San Juan Capistrano. (4) PETER D. PRESCOTT, CPA POSITION: CPA, Owner of Sole Proprietor CPA practice NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 40 START DATE: 10/02/1981 ADDRESS: 30950 Rancho Viejo Road, Suite 100, San Juan Capistrano CA 92675, United States DESCRIPTION: CPA Tax Planning & Preparation. (5) PRESCOTT TAX & WEALTH MANAGEMENT (DBA) POSITION: Sole Proprietor, Owner NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 120 START DATE: 01/22/2009 ADDRESS: 30950 Rancho Viejo Road, Suite 100, San Juan Capistrano CA 92675, United States DESCRIPTION: 100% OWNER OF DBA PRESCOTT TAX & WEALTH MANAGEMENT USED FOR MARKETING PURPOSES. (6) 412 VISTA PACIFICA H.O.A. POSITION: Board Member NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 02/23/2021 ADDRESS: N/A, ZOOM CALLS, United States DESCRIPTION: Board Member for condo homeowners association. (7) PRESCOTT REAL ESTATE SERVICES INC. POSITION: Officer/Director NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 08/21/2023 ADDRESS: 30950 Rancho Viejo Road, Suite 100, San Juan Capistrano CA 92675, United States DESCRIPTION: President of S Corp, property management (8) PRESCOTT MANAGEMENT, INC. POSITION: Officer/Director NATURE: Acting as a POA, Trustee, Executor (This activity is strictly limited and will only be approved for direct family members. If you have questions, please call a Compliance Officer). INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2025 ADDRESS: 30950 Rancho Viejo Road, Suite 100, San Juan Capistrano CA 92675, United States DESCRIPTION: Trustee services

Exams

• S66 Uniform Combined State Law Examination
  2003-01-21
• S63 Uniform Securities Agent State Law Examination
  1985-04-15

Designations