Patrick J. Sahli
Professional summary
Patrick James Sahli was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Patrick is a previously registered financial advisor and started their career in finance in 1981. Prior to being barred, Patrick had worked at 6 firms, which includes FINANCIAL WEST GROUP, GIRARD SECURITIES INC., FITZGERALD CAPITAL ADVISERS LTD., PRUDENTIAL EQUITY GROUP LLC, KIDDER PEABODY & CO. INCORPORATED, UBS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 2001 - November 13, 2002
FINANCIAL WEST GROUP
June 1, 1998 - November 13, 2002
FINANCIAL WEST GROUP
January 25, 1995 - May 13, 1998
GIRARD SECURITIES, INC.
September 22, 1994 - December 31, 1994
FITZGERALD CAPITAL ADVISERS, LTD.
July 26, 1993 - August 31, 1994
PRUDENTIAL EQUITY GROUP, LLC
March 6, 1985 - September 2, 1993
KIDDER, PEABODY & CO. INCORPORATED
December 11, 1981 - March 1, 1985
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
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