Patricia Ann Smith
Professional Summary
Patricia Ann Smith, who also goes by Particia Ann Barnett, Patricia A Barnett, Patricia Ann Barnett, Patricia A Barnett-smith, Patricia Ann Barnett-smith, was a registered financial advisor. Patricia was a previously registered financial professional and started their career in finance 1992 - 2024. Patricia had worked at 5 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Particia Ann Barnett, Patricia A Barnett, Patricia Ann Barnett, Patricia A Barnett-Smith, Patricia Ann Barnett-Smith
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
34 years in the financial services industry
Current & Past Employments
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Current Firm
NUMIS | NUMIS SECURITIES LLC | NUMIS SECURITIES INC.
Contact Information
Established
Delaware since 09/03/2024Firm Type
Limited Liability CompanyFiscal Year End
SeptemberFirm Size
SmallDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Sep 2005Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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