Prairie Capital Markets, LLC

Broker-DealerFINRA MemberEst. 2012
Total AUM
—
Advisory reps
19
Avg account
$0

Firm details

Headquarters
Oakbrook Terrace, Illinois
CRD number
158309
Registered since
July 19, 2012

Firm profile

FINTRX

Overview

Prairie Capital Markets, LLC is organized as a limited liability company and is classified as an investment bank. The firm shows an SEC registration date of 2012 and lists ownership by a combination of a domestic entity and an individual. Publicly reported attributes indicate it does not function as a capital allocator and it does not identify as an active ESG investor, a multi-state adviser, a pension consultant, a related adviser, or a newly formed adviser. The available disclosures do not include fee arrangements, a client roster, or detailed business and advisory activities. Given its classification as an investment bank and the absence of AUM or client-account data, the firm appears to concentrate on transactional or capital-markets services rather than serving as a traditional asset manager or wealth manager. The lack of a reported advisory footprint and the negative flags on capital allocation and multi-state advisory status are signals to expect limited fiduciary/advisory engagement and to verify regulatory filings or firm materials for specifics about services and client types before initiating outreach.

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

2 of 2
  • Rocky Fiore

    Rocky Fiore

    Managing Director and Chief Operating OfficerCRD 2588089

  • David Diehl

    David Diehl

    Chief Executive OfficerCRD 5957699

Contacts

3 of 17
  • Daniel Beaton

    Daniel Beaton

    FinOpCRD 4240769

  • Terrel Bressler

    Terrel Bressler

    Managing DirectorCRD 2447793

  • Richard Shuma

    Richard Shuma

    Managing DirectorCRD 4222015

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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Location

Primary office

Oakbrook Terrace, IL

Du Page

Location

Oakbrook Terrace, IL

Headquartered in Oakbrook Terrace, IL, anchoring the Chicago-Naperville, IL-IN-WI metro in the Midwest.

Metro area
Chicago-Naperville, IL-IN-WI
Region
Midwest
County
Du Page
Address
1 Lincoln Ctr 18w140 Butterfie Rd
Time zone
CT (UTC-6)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth