Patti A. Kuhlman
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.
Patti Ann Kuhlman, who also goes by Patti A Kuhlman, was a registered financial professional .
Patti is a previously registered financial professional and started their career in finance in 1984. Patti had worked at 16 firms and has passed the Series 63, SIE, Series 3, Series 87, Series 7, Series 4, Series 27 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
February 14, 2013 - January 7, 2016
GIRARD SECURITIES, INC.
October 3, 2012 - January 7, 2016
GIRARD SECURITIES, INC.
May 16, 2011 - July 11, 2012
UNX LLC
February 17, 2011 - May 26, 2011
VERTICAL CAPITAL SECURITIES, LLC
February 12, 2009 - October 1, 2009
INTERACTIVE BROKERS LLC
May 8, 2007 - September 30, 2009
INTERACTIVE BROKERS CORP.
November 15, 2006 - May 4, 2007
VIEWPOINT SECURITIES, LLC
November 14, 2003 - May 1, 2007
AVIOR CAPITAL, LLC
June 25, 2002 - January 31, 2003
INVESTMENT CENTERS OF AMERICA, INC.
May 21, 2002 - May 24, 2002
PMB SECURITIES CORP.
June 25, 2001 - May 23, 2002
SPELMAN & CO., INC.
April 11, 2001 - May 23, 2002
SENTRA SECURITIES CORPORATION
July 29, 1993 - August 7, 2000
GREAT PACIFIC SECURITIES
October 11, 1991 - June 5, 1992
AMR SECURITIES, INC.
October 3, 1990 - December 11, 1990
LFG SECURITIES, INC.
January 2, 1987 - October 18, 1988
MOONEY'S SECURITIES, INC.
March 23, 1984 - November 18, 1985
AMERICAN FRONTEER FINANCIAL CORPORATION
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
GIRARD SECURITIES, INC.
CRD#: 18697 / SEC#: 801-61470, 8-36920
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHARGERS ACQUISITION LLC | SHAREHOLDER | |
| BALLARD, JAMES DAVID | VP | 1714327 |
| BARRAGAN, JOHN ARTHUR III | PRESIDENT/COO | 2941942 |
| GRAHAM, LUANNE MARIE | ADVISORY CCO | 2310126 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBSEN, BRYAN K | B-D CCO, SECRETARY | 3055957 |
| KLICMAN, SHIRLEY ANNE | VP | 1771713 |
| OLSON, GREGORY ALAN | ASST. SECRETARY | 2692482 |
| ROGERS, JASON DYLAN | SENIOR EXECUTIVE VP | 2641674 |
| SHERROD, TRACI LYNN | AVP | 4321192 |
| SMILEY, STANLEY ROBERT | VP | 3004604 |
| TIETJEN, MARGARET SUSAN | CHIEF EXECUTIVE OFFICER/ DIRECTOR | 1294862 |
Disclosures
| Regulatory Event | 2 |
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.
