Patricia E. Gorman
Professional summary
Patricia Ellen Gorman, who also goes by Patty Gorman, is a registered financial professional currently at SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP. located in Atlanta, Georgia.
Patricia is registered as a RR (Registered Representative) and started their career in finance in 1983. Patricia has worked at 11 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Patricia Ellen Gorman's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 26, 2022 - Present
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
Office #1: 400 Interstate N Pkwy Suite 1200, Atlanta, GA 30339June 13, 2011 - November 9, 2012
NBC SECURITIES, INC.
April 29, 2002 - June 16, 2009
PACES BATTLE GROUP, INC.
May 26, 1992 - May 11, 2000
MIZUHO SECURITIES USA LLC
May 1, 1992 - May 26, 1992
MIZUHO SECURITIES USA LLC
February 28, 1991 - April 30, 1992
SANWA SECURITIES (USA) CO., L.P.
February 6, 1991 - April 30, 1992
SANWA UNIVERSAL SECURITIES CO., LLC
September 14, 1989 - July 3, 1990
WESTPAC POLLOCK GOVERNMENT SECURITIES INC.
February 11, 1985 - August 24, 1989
CITIGROUP GLOBAL MARKETS INC.
January 18, 1985 - February 11, 1985
CIBC WORLD MARKETS CORP.
March 13, 1984 - December 31, 1984
WACHOVIA SECURITIES, INC.
September 21, 1983 - February 27, 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
(11/4/2022)
(11/4/2022)
(11/2/2022)
(11/3/2022)
(12/17/2024)
(1/19/2023)
(1/13/2023)
(11/8/2022)
Exams
FINRA
Current Firm
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
CRD#: 6950 / SEC#: 801-68820, 8-18971
Contact information
FINRA licenses (49 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SOUTHSTATE BANK, NATIONAL ASSOCIATION | OWNER | |
| BONONNO, JOSEPH KEMP | CHIEF FINANCIAL OFFICER | 7437632 |
| CHERRY, JAMES CROWELL | CHIEF COMPLIANCE OFFICER | 2870353 |
| HODGES, STUART LEE | SVP, PRESIDENT | 7370566 |
| HOWARD, HEATHER DIANE | CORPORATE SECRETARY/COMPLIANCE OFFICER | 4349745 |
| TUCKER, KIMBERLY SHAY | OPERATIONS MANAGER - PRINCIPAL OPERATIONS OFFICER | 7370391 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 1 |
Red Flags
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