Patrick M. Mccooey
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 Michael Mccooey was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1983. Patrick had worked at 15 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2015 - June 8, 2016
TULLETT PREBON FINANCIAL SERVICES LLC
April 19, 2012 - March 2, 2015
BNP PARIBAS SECURITIES CORP.
November 1, 2010 - April 12, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 25, 2009 - November 1, 2010
BANC OF AMERICA SECURITIES LLC
January 10, 2006 - November 19, 2008
HSBC SECURITIES (USA) INC.
June 3, 2005 - December 16, 2005
BGC FINANCIAL, L.P.
March 10, 2005 - February 17, 2006
MINT BROKERS
January 3, 2005 - December 15, 2005
CASTLEOAK SECURITIES, LP
November 3, 2000 - September 27, 2002
PERSHING LLC
April 18, 1994 - October 21, 2004
CREDIT SUISSE SECURITIES (USA) LLC
February 21, 1991 - March 15, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 2, 1987 - December 14, 1987
WOOLCOTT & CO., INC.
April 20, 1987 - August 3, 1987
TUCKER ANTHONY INCORPORATED
November 20, 1985 - April 7, 1986
CANTOR FITZGERALD & CO.
October 11, 1984 - October 15, 1985
MABON, NUGENT & CO.
November 23, 1983 - August 31, 1984
BECKER PARIBAS 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
Current Firm
TULLETT PREBON FINANCIAL SERVICES LLC
CRD#: 28196 / SEC#: , 8-43487
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 17 |
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.
