John R. Patti
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Rolfe Patti, CFP® was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1982. John had worked at 7 firms and has passed the Series 63, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2000 - December 22, 2000
USALLIANZ SECURITIES, INC.
April 20, 1995 - July 6, 1998
GUARDIAN INVESTOR SERVICES LLC
March 30, 1990 - January 17, 1995
GUARDIAN INVESTOR SERVICES LLC
September 29, 1989 - January 3, 1990
VALLEY SECURITIES, INC.
July 16, 1986 - October 3, 1989
INVEST FINANCIAL CORPORATION
January 5, 1982 - July 28, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
January 5, 1982 - July 29, 1986
AMERIPRISE FINANCIAL SERVICES, LLC
January 5, 1982 - July 29, 1986
IDS LIFE INSURANCE COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
USALLIANZ SECURITIES, INC.
CRD#: 40875 / SEC#: , 8-49216
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | SHAREHOLDER | |
| HOWELL, RUTH ANNETTE | CHIEF COMPLIANCE OFFICER, COMPLIANCE REGISTERED OPTIONS PRINCIPAL | |
| INGERSOLL, THADDEUS WINTHROP III | COMPLIANCE MANAGER, SENIOR REGISTERED OPTIONS PRINCIPAL | 2616975 |
| JORGENSEN, MICHAEL JAMES | PRESIDENT | 2676329 |
| REITAN, EMILY SUZANNE | CHIEF FINANCIAL OFFICER & TREASURER | 5209812 |
| VITIELLO, VINCENT GERARD | CHAIRMAN OF THE BOARD | 1059845 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
