Patricia P. Wood
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 Partridge Wood, who also goes by Patricia A Parker, Patricia Anne Parker, Patricia Partridge Parker, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1990. Patricia had worked at 8 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2017 - August 31, 2020
NAVY FEDERAL INVESTMENT SERVICES, LLC
April 16, 2009 - January 4, 2017
NAVY FEDERAL ASSET MANAGEMENT, LLC
April 9, 2009 - August 31, 2020
NAVY FEDERAL INVESTMENT SERVICES, LLC
May 1, 2007 - March 20, 2009
GROVE POINT INVESTMENTS, LLC
March 12, 2007 - March 20, 2009
GROVE POINT INVESTMENTS, LLC
April 12, 2005 - December 31, 2006
COMMONWEALTH FINANCIAL NETWORK
April 6, 2005 - December 31, 2006
COMMONWEALTH FINANCIAL NETWORK
October 1, 2001 - November 30, 2004
CHITTENDEN SECURITIES, LLC.
October 7, 1998 - November 30, 2004
CHITTENDEN SECURITIES, LLC.
September 17, 1997 - October 9, 1998
FISERV INVESTOR SERVICES, INC.
April 12, 1994 - September 17, 1997
LINK INVESTMENT SERVICES, INC.
June 22, 1990 - February 2, 1994
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
NAVY FEDERAL INVESTMENT SERVICES, LLC
CRD#: 138459 / SEC#: 801-68067, 8-67161
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
Series 7TO
Date: 3/8/2024
General Securities Representative ExaminationCurrent Firm
NAVY FEDERAL INVESTMENT SERVICES, LLC
CRD#: 138459 / SEC#: 801-68067, 8-67161
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,472 |
| AUM (Assets Under Management) | $ 1,713,608,579 |
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.
