Patrick R. Hastings
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 Ranson Hastings was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1981. Patrick had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2004 - August 9, 2019
ROSS, SINCLAIRE & ASSOCIATES, LLC
August 7, 2000 - February 26, 2004
STEPHENS
August 20, 1990 - July 6, 2000
J.C. BRADFORD & CO.
June 12, 1986 - July 16, 1990
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
November 6, 1981 - June 25, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
ROSS, SINCLAIRE & ASSOCIATES, LLC
CRD#: 25440 / SEC#: 801-78513, 8-41740
Contact information
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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