Gregory Prato has been President/Shareholder of Prato Capital Management since September 2017, is a control person of the firm and directly owns 75% or more of it.
Prato Capital Management, Inc. is a White Plains, NY firm with $225M under management, 326 clients and 3 advisers in one office, as of its March 2026 filing.
Gregory Prato’s longest registration was 13 years at Wells Fargo Advisors Financial Network, LLC (2003–2016). Before joining Prato Capital Management in 2018, Gregory Prato was registered through Wells Fargo Advisors Financial Network, LLC and Merrill Lynch Pierce Fenner & Smith Inc.
- Prato Capital ManagementCurrent– present · 8 yearsWhite Plains, NY · Adviser representative · Firm CRD 289917
- Wells Fargo Advisors Financial Network, LLC– · 13 yearsWhite Plains, NY · Adviser representative · Firm CRD 11025
- Merrill Lynch Pierce Fenner & Smith Inc.– · 5 yearsWhite Plains, NY · Adviser representative · Firm CRD 7691
Investment adviser representative registrations
Gregory Prato is registered as an investment adviser representative in 3 states, as a resident of Texas. The first approvals date from September 2018; the most recent is Texas, in March 2022.
- ConnecticutSince 26 September 2018
- New YorkSince 7 August 2021
- TexasResidentSince 10 March 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 3 February 2004 |
| Series 65 | Uniform Investment Adviser Law Examination | 8 July 1994 |
| Series 63 | Uniform Securities Agent State Law Examination | 30 June 1994 |
| Series 7 | General Securities Representative Examination | 8 June 1994 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Gregory Paul Prato
- CRD
- 2479601
- Firm
- Prato Capital Management · CRD 289917
- Role
- President/Shareholder
- Office
- 70 GEDNEY WAY, White Plains, NY 10605
- Registration
- Investment adviser registration
- In the industry since
- April 1995
- Disciplinary history
- Not yet shown here · SEC record
Where does Gregory Prato work?
Gregory Prato has been President/Shareholder of Prato Capital Management, Inc. since September 2017, and is a control person of the firm.
Is Gregory Prato a financial advisor?
Yes. Gregory Prato has a current investment-adviser registration in Connecticut, New York and Texas, through Prato Capital Management since September 2018.
How many years of experience does Gregory Prato have?
Gregory Prato has 31 years in the financial industry, since April 1995, across 3 adviser firms.
What exams has Gregory Prato passed?
Gregory Prato has passed 4 licensing exams: the Series 7, Series 63, Series 65 and Series 24. The earliest, the Series 7, was passed in June 1994. FINRA credited Gregory Prato with the SIE, which began in October 2018.
Where did Gregory Prato work before Prato Capital Management?
Before Prato Capital Management, Gregory Prato was registered through Wells Fargo Advisors Financial Network, LLC, April 2003 to October 2016; Merrill Lynch Pierce Fenner & Smith Inc., September 1997 to April 2003.
Where is Gregory Prato based?
Gregory Prato’s registered office is in White Plains, NY.
Is Gregory Prato registered with FINRA?
No. Gregory Prato has no current broker registration.
How can I verify Gregory Prato’s record?
Search CRD 2479601 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Gregory Prato’s full registration record.