Patricia A. Hunter
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 Hunter, who also goes by Patricia A Hunter, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1984. Patricia had worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2009 - August 30, 2022
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
May 13, 2008 - April 20, 2009
BISHOP, ROSEN & CO., INC.
September 7, 2007 - May 12, 2008
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
February 25, 2002 - April 16, 2007
SANDGRAIN SECURITIES LLC
May 1, 1998 - March 2, 2001
WELLS FARGO CLEARING SERVICES, LLC
April 17, 1998 - May 11, 1998
BARINGTON CAPITAL GROUP, L.P.
January 6, 1992 - April 14, 1998
D. H. BLAIR & CO., INC.
November 28, 1990 - July 31, 1991
COMMONWEALTH ASSOCIATES
February 16, 1990 - December 10, 1990
GLOBAL AMERICA INCORPORATED
March 15, 1989 - February 17, 1990
J. T. MORAN & CO., INC.
July 28, 1988 - March 29, 1989
PRUDENTIAL EQUITY GROUP, LLC
March 9, 1988 - August 3, 1988
LEHMAN BROTHERS INC.
February 23, 1984 - November 26, 1984
CIBC WORLD MARKETS CORP.
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
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
CRD#: 18487 / SEC#: , 8-37085
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN PORTFOLIOS HOLDINGS, INC. | 100% SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| DOLBER, LON TERRY | DIRECTOR | 862635 |
| DOLBER, LON TERRY | CEO & PRESIDENT | 862635 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR | 2627931 |
| SCHLUETER, MATTHEW ADAM | EVP | 2627931 |
| SCHMIDT, DAVID MARTIN | FINANCIAL & OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
