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Patrick Gardner

CRD# 1150866·Registered 1983 - 2015
Previously Registered: Being a previously registered professional could mean that Patrick 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.

Professional Summary

Patrick Gardner, who also goes by Lynn P Gardner, Lynn Patrick Gardner, was a registered financial advisor. Patrick was a previously registered financial professional and started their career in finance 1983 - 2015. Patrick had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Lynn P Gardner, Lynn Patrick Gardner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

43 years in the financial services industry

Current & Past Employments

PYRAMIS DISTRIBUTORS CORPORATION LLC·CRD# 146430
BD
Boston, MA
January 5, 2009 - February 3, 2015
FIDELITY DISTRIBUTORS COMPANY LLC·CRD# 17507
BD
Smithfield, RI
April 9, 2007 - February 3, 2009
MATRIX CAPITAL GROUP, INC.·CRD# 33364
BD
New York, NY
May 12, 2005 - July 28, 2005
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC·CRD# 30107
BD
Boston, MA
March 11, 2002 - November 7, 2003
CHARLES SCHWAB & CO., INC.·CRD# 5393
BD
Westlake, TX
April 17, 1996 - April 13, 2000
INVESTORS CAPITAL CORP.·CRD# 30613
BD
Lynnfield, MA
August 29, 1995 - March 29, 1996
WELLS FARGO SECURITIES INC.·CRD# 17438
BD
San Francisco, CA
March 17, 1993 - September 1, 1993
G. R. PHELPS & CO., INC.·CRD# 173
BD
February 13, 1991 - November 15, 1991
VANGUARD MARKETING CORPORATION·CRD# 7452
BD
March 1, 1984 - June 7, 1990
AETNA FINANCIAL SERVICES, INC.·CRD# 13255
BD
June 24, 1983 - February 5, 1985
AETNA LIFE INSURANCE AND ANNUITY COMPANY·CRD# 13256
BD
June 19, 1983 - February 5, 1985

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Current Firm

PD
PYRAMIS DISTRIBUTORS CORPORATION LLC

PYRAMIS DISTRIBUTORS CORPORATION LLC

CRD#: 146430 / SEC#: 8-67821
BD
Terminated by SEC on 09/30/2016

Contact Information

Established

Delaware since 06/15/2007

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
FIAM HOLDINGS CORP.MEMBER—
CONDRON, CASEY MOOREDIRECTOR3092905
COUTO, SCOTTPRESIDENT / DIRECTOR2178859
LINDE, JASON JOHNCCO2866398
LUBY, JAMES CLAYFINOP/CFO4542482

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Aug 1993About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1991About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Feb 2015About the SIE exam

Series 7 — General Securities Representative Examination

Passed Nov 1987About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Mar 1988About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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