Patrick M. O'malley
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.
Patrick Matthew O'malley, who also goes by Patrick O'malley, Patrick Matthew Omalley, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1981. Patrick had worked at 9 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2019 - September 4, 2019
STONEX FINANCIAL INC.
August 24, 2016 - September 28, 2018
SEAPORT GLOBAL SECURITIES LLC
June 27, 2005 - June 30, 2016
CRT CAPITAL GROUP LLC
February 20, 2003 - May 19, 2005
CIBC WORLD MARKETS CORP.
May 1, 2001 - February 11, 2003
J.P. MORGAN SECURITIES INC.
September 9, 1993 - May 1, 2001
JPMSI
December 1, 1987 - August 13, 1993
NEEDHAM & COMPANY, LLC
November 17, 1981 - October 2, 1987
LADENBURG THALMANN & CO. INC.
November 3, 1981 - November 20, 1981
ROONEY, PACE INC.
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
Series 55
Date: 2/4/2000
Limited Representative-Equity Trader ExamSeries 8
Date: 11/22/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
STONEX FINANCIAL INC.
CRD#: 45993 / SEC#: , 8-51269
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | PRESIDENT/DIRECTOR | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
| Regulatory Event | 75 |
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.
