Patricia A. Drax
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 Angela Drax, who also goes by Richardson Patricia Angela Drax, Patricia Angela Draxrichardson, Patricia Drax Pollak, Patricia Drax Richardson, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1983. Patricia had worked at 7 firms and has passed the Series 63, Series 7, Series 6 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
January 1, 2006 - October 20, 2016
DRAX ASSET MANAGEMENT, LLC
March 15, 2002 - December 31, 2005
DRAX ASSET MANAGEMENT, LLC
October 24, 2001 - August 7, 2003
NORTHEAST SECURITIES, LLC
July 8, 2000 - October 24, 2001
OSAIC FS, INC.
July 19, 1991 - July 8, 2000
POLARIS FINANCIAL SERVICES, INC.
January 8, 1987 - December 20, 1990
MAIN STREET MANAGEMENT COMPANY
April 25, 1984 - November 5, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 24, 1983 - January 24, 1984
WADDELL & REED
State Registrations and Notice Filings
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Exams
Current Firm
DRAX ASSET MANAGEMENT, LLC
CRD#: 112304 / SEC#: 801-60339
Contact information
Red Flags
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