Patricia A. Esposito
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 Ann Esposito, who also goes by Patty Esposito, Patricia Ann Rector, Patty Rector, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1986. Patricia had worked at 2 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2017 - July 11, 2019
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
June 1, 1993 - October 31, 2001
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
August 27, 1986 - June 1, 1993
TEMPLETON FUNDS DISTRIBUTOR, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
CRD#: 332 / SEC#: , 8-5889
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Civil Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
