James V. Patosky
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.
James Vincent Patosky, who also goes by Jim Patosky Jr, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 12 firms and has passed the Series 63, Series 7, Series 22, Series 6 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
November 9, 2004 - June 17, 2013
LINCOLN FINANCIAL DISTRIBUTORS, INC.
August 7, 2002 - October 1, 2004
NYLIFE DISTRIBUTORS LLC
October 13, 1995 - March 21, 2002
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 18, 1994 - October 11, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
August 11, 1992 - December 31, 1993
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 7, 1991 - March 5, 1992
FUNDMARK INVESTMENT COMPANY SERVICES, INC.
June 21, 1991 - August 25, 1992
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
January 31, 1991 - June 21, 1991
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
June 28, 1990 - January 31, 1991
PRUDENTIAL EQUITY GROUP, LLC
November 20, 1989 - December 8, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
November 19, 1989 - July 3, 1990
OSAIC WEALTH, INC.
August 23, 1989 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
June 6, 1986 - August 3, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
January 11, 1985 - June 10, 1986
JOHN HANCOCK DISTRIBUTORS LLC
January 25, 1984 - June 17, 1986
TOWER SQUARE SECURITIES, INC.
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
LINCOLN FINANCIAL DISTRIBUTORS, INC.
CRD#: 145 / SEC#: , 8-13431
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE LINCOLN NATIONAL LIFE INSURANCE COMPANY | SHAREHOLDER | |
| CHRYSSIKOS, PAUL TELEMAC | SENIOR VICE PRESIDENT AND CHIEF LEGAL OFFICER | 7263748 |
| FALLER, DANIEL T | SENIOR VICE PRESIDENT, HEAD OF LFD FINANCE | 6006570 |
| GIBSON, JASON MICHAEL | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, DISTRIBUTION | 3081880 |
| KENNEDY, JOHN CHRISTOPHER | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2213083 |
| NEPA, JARED M. | SVP, HEAD OF LIFE & MONEYGUARD DISTRIBUTION | 5157819 |
| OMORUYI, MEGAN VOGT | AVP, FINANCIAL AND OPERATIONS PRINCIPAL | 7803022 |
| SEIFERT, TIMOTHY JOHN | SENIOR VICE PRESIDENT, HEAD OF RS DISTRIBUTION | 1577571 |
| SMITH, NANCY | SECRETARY | 6140078 |
Disclosures
| Regulatory Event | 3 |
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.
