Patricia Preiss
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 Preiss, who also goes by Patricia Preiss Gallagher, Patricia Preiss, Patricia Dorothy Preiss, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1983. Patricia had worked at 17 firms and has passed the Series 66, Series 63, Series 31, Series 7 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2011 - December 2, 2013
FIDELITY BROKERAGE SERVICES LLC
June 1, 2009 - June 11, 2010
MORGAN STANLEY
June 1, 2009 - June 11, 2010
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
August 18, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
October 14, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
October 6, 2004 - March 9, 2005
SEABOARD SECURITIES, INC.
July 19, 2001 - October 14, 2002
SIG BROKERAGE, LP
October 1, 2000 - July 20, 2001
SUNGARD GLOBAL EXECUTION SERVICES LLC
August 19, 1998 - June 4, 1999
HAPOALIM SECURITIES USA, INC.
May 30, 1996 - October 24, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 1, 1995 - January 16, 1996
BLACKFORD SECURITIES CORP.
August 29, 1989 - August 18, 1994
RBC CAPITAL MARKETS CORPORATION
April 21, 1988 - January 30, 1989
HERZOG, HEINE, GEDULD, LLC
August 20, 1987 - April 7, 1988
E. F. HUTTON & COMPANY INC
July 10, 1985 - July 20, 1987
CREDIT SUISSE SECURITIES (USA) LLC
June 27, 1984 - July 6, 1984
LEHMAN BROTHERS INC.
May 22, 1984 - July 18, 1985
SBC WARBURG DILLON READ INC.
May 25, 1983 - May 18, 1984
LEHMAN BROTHERS KUHN LOEB 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 25
Date: 2/8/2000
NYSE Trading Assistant ExaminationCurrent Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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.
