Patricia K. Lindeen
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 Kay Lindeen was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1985. Patricia had worked at 9 firms and has passed the Series 63, SIE, Series 55, Series 3, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2013 - February 23, 2015
W.A. CAPITAL MARKETS
December 21, 2011 - August 29, 2013
TEJAS SECURITIES GROUP, INC.
February 22, 2011 - May 3, 2011
DOMESTIC SECURITIES, INC.
September 9, 2002 - December 31, 2008
GOLDMAN SACHS & CO. LLC
May 13, 1998 - September 9, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
September 28, 1988 - April 1, 1998
NOMURA SECURITIES INTERNATIONAL, INC.
April 11, 1988 - October 13, 1988
LEHMAN BROTHERS INC.
September 14, 1987 - April 11, 1988
E. F. HUTTON & COMPANY INC
January 9, 1985 - October 3, 1985
WADDELL & REED
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 55
Date: 7/13/1998
Limited Representative-Equity Trader ExamCurrent Firm
W.A. CAPITAL MARKETS
CRD#: 6292 / SEC#: , 8-16871
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MURPHY, RICHARD JAMES | REGISTERED OPTIONS PRINCIPAL (SROP) | 1016183 |
| MURPHY, RICHARD JAMES | GENERAL PARTNER | 1016183 |
| GEM NEW YORK, LLC | GENERAL PARTNER | |
| MILLAR, DOUGLAS MACARTHUR | CHIEF COMPLIANCE OFFICER | 1631198 |
| MURPHY, GLORIA E | LIMITED PARTNER | 3150528 |
| PETRI, RICHARD THOMAS | FINANCIAL & OPERATIONS PRINCIPAL | 3039438 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 2 |
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.
