Patricia D. Hall
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 Diana Hall, who also goes by Patricia Diana Chavez, Patricia Diana Mendez, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1985. Patricia had worked at 14 firms and has passed the Series 65, Series 63, SIE 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
April 5, 2021 - September 3, 2021
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
April 2, 2021 - September 3, 2021
CAMBRIDGE INVESTMENT RESEARCH, INC.
December 12, 2017 - April 6, 2021
BFC PLANNING, INC.
July 31, 2006 - April 6, 2021
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
July 31, 2006 - April 6, 2021
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
July 17, 2002 - August 30, 2006
HALL, HODGES & ASSOCIATES, INC.
December 30, 1999 - August 3, 2006
LPL FINANCIAL LLC
March 18, 1999 - August 3, 2006
LPL FINANCIAL LLC
October 21, 1997 - December 9, 1998
BA INVESTMENT SERVICES, INC.
July 15, 1996 - October 31, 1997
WELLS FARGO SECURITIES INC.
April 19, 1995 - November 16, 1995
ESSEX NATIONAL SECURITIES, LLC
March 28, 1995 - July 15, 1996
FIRST INTERSTATE INVESTMENTS,INC.
February 1, 1991 - April 5, 1995
GRIFFIN FINANCIAL SERVICES
October 2, 1989 - January 23, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 2, 1989 - January 23, 1991
EQUITABLE ADVISORS, LLC
October 6, 1987 - June 26, 1989
BA INVESTMENT SERVICES, INC.
April 24, 1985 - March 12, 1986
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
