Patricia A. Smith
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 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 professional .
Patricia is a previously registered financial professional and started their career in finance in 1992. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2006 - October 25, 2024
NUMIS SECURITIES LLC
December 2, 1999 - February 3, 2006
PORTIGON SECURITIES INC.
June 14, 1999 - July 27, 1999
DEUTSCHE BANK SECURITIES INC.
July 10, 1998 - June 14, 1999
DB ALEX. BROWN LLC
January 23, 1992 - November 25, 1998
UBS SECURITIES LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/20/2005
Limited Representative-Equity Trader ExamCurrent Firm
NUMIS SECURITIES LLC
CRD#: 128471 / SEC#: , 8-66139
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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