Patricia F. Dredze
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 Flynn Dredze, who also goes by Patricia A Flynn, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 2012. Patricia had worked at 4 firms and has passed the SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2019 - August 27, 2020
CROTON LIQUID MARKETS LLC
January 18, 2019 - January 16, 2024
GUGGENHEIM SECURITIES, LLC
May 10, 2018 - July 12, 2024
GUGGENHEIM INVESTOR SERVICES, LLC
June 28, 2012 - July 12, 2024
GUGGENHEIM FUNDS DISTRIBUTORS, 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
Current Firm
CROTON LIQUID MARKETS LLC
CRD#: 283873 / SEC#: , 8-69770
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LINKS HOLDINGS, LLC | MEMBER | |
| DISTELL, GARY NEIL | CHIEF COMPLIANCE OFFICER | 1540489 |
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.
