Patsy L. Nodilo
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.
Patsy Lee (hatch) Nodilo, who also goes by Patsy Lee Hatch (maiden), was a registered financial professional .
Patsy is a previously registered financial professional and started their career in finance in 1984. Patsy had worked at 6 firms and has passed the Series 65, Series 63 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
July 10, 2019 - September 26, 2023
EP WEALTH ADVISORS
December 1, 2009 - July 10, 2019
PATHLIGHT INVESTORS, LLC
September 12, 2006 - December 2, 2009
UBS FINANCIAL SERVICES INC.
May 25, 2001 - December 2, 2009
UBS FINANCIAL SERVICES INC.
March 2, 1998 - June 1, 2001
RBC CAPITAL MARKETS, LLC
January 2, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
May 24, 1984 - January 2, 1998
RAUSCHER PIERCE REFSNES, INC.
Primary Firm SEC Registration
EP WEALTH ADVISORS
CRD#: 111147 / SEC#: 801-29358
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
EP WEALTH ADVISORS
CRD#: 111147 / SEC#: 801-29358
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 49,167 |
| AUM (Assets Under Management) | $ 35,570,000,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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