Patrick J. Moriarty
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.
Patrick James Moriarty was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1996. Patrick had worked at 7 firms and has passed the Series 66, Series 3, 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
July 3, 2013 - September 25, 2013
PICKWICK CAPITAL PARTNERS, LLC
March 8, 2013 - May 17, 2013
CAPLINK SECURITIES, INC
May 19, 2009 - February 19, 2013
CAPSTONE INVESTMENTS
May 19, 2009 - February 19, 2013
CAPSTONE INVESTMENTS
December 8, 2008 - May 13, 2009
SOUTHRIDGE INVESTMENT GROUP LLC
December 6, 2004 - June 23, 2008
LACKEN BAY PARTNERS, LLC
August 9, 2004 - December 17, 2004
SOUTHRIDGE INVESTMENT GROUP LLC
July 10, 1996 - July 13, 2004
EVALUATION ASSOCIATES CAPITAL MARKETS INC
January 3, 1996 - July 1, 2004
EACM SECURITIES INC.
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
PICKWICK CAPITAL PARTNERS, LLC
CRD#: 130672 / SEC#: , 8-66373
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GREENWOOD, DOUGLAS CHARLES WILLIAM | PRESIDENT | 1192611 |
| DANOVITCH, DAVID E | MANAGING PRINCIPAL, GENERAL COUNSEL | 3013350 |
| KAPLOWITZ, JAY | MEMBER | |
| ROSE, JOHN IRVING II | MEMBER | 2790640 |
| WU, CHIH-CHUN | MEMBER | 5704739 |
| FJC CAPITAL INC. | OWNER | |
| VAN SCHAACK, JOHN GREGORY | MEMBER | 1121171 |
| ABRAMCZYK, JANE E | CCO | 4801666 |
| ACCESS MEDIA ADVISORY LLC | MEMBER | |
| GENDRON, KAREN MARIE | FINOP | 1503330 |
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.
