Patricia D. Highland
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.
Patricia Davis Highland, who also goes by Patricia D Hargrove, Patricia Davis Hargrove, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1981. Patricia had worked at 13 firms and has passed the Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2006 - May 30, 2014
PURSHE KAPLAN STERLING INVESTMENTS
October 4, 2004 - November 30, 2005
PAN-AMERICAN FINANCIAL ADVISERS
August 27, 2003 - September 30, 2004
INVESTMENT SECURITY CORPORATION
January 9, 2003 - August 26, 2003
STONEHAVEN, LLC
April 1, 2002 - January 9, 2003
PCS SECURITIES, INC.
January 10, 2000 - February 28, 2002
MORGAN KEEGAN & COMPANY, LLC
July 10, 1998 - January 18, 2000
WACHOVIA BROKERAGE SERVICE
November 12, 1997 - July 20, 1998
ISLAND INVESTMENT SERVICES, INC.
January 31, 1995 - July 3, 1997
MESIROW FINANCIAL, INC.
January 7, 1992 - February 6, 1995
GMS GROUP
June 28, 1986 - June 18, 1991
CREDIT SUISSE SECURITIES (USA) LLC
September 11, 1984 - June 9, 1986
PRUDENTIAL EQUITY GROUP, LLC
September 24, 1981 - October 17, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 8
Date: 6/12/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
