Patricia B. Green
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 Bisch Green, who also goes by Patricia Green Anderson, Pat Bisch, Patricia A Bisch, Patricia Ann Bisch, Patricia Ann Bischgreen, Patricia Bish Green, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1986. Patricia had worked at 18 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 3 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
October 1, 2013 - January 10, 2019
WELLS FARGO CLEARING SERVICES, LLC
September 30, 2013 - January 10, 2019
WELLS FARGO CLEARING SERVICES, LLC
February 23, 2009 - September 27, 2013
BOK FINANCIAL SECURITIES, INC.
January 8, 2009 - September 27, 2013
BOK FINANCIAL SECURITIES, INC.
November 6, 2008 - January 2, 2009
CETERA INVESTMENT SERVICES LLC
November 5, 2008 - January 2, 2009
GUARANTY BROKERAGE SERVICES, INC.
November 26, 2001 - October 31, 2008
MOMENTUM INDEPENDENT NETWORK INC.
September 14, 2001 - October 31, 2008
MOMENTUM INDEPENDENT NETWORK INC.
September 14, 1998 - April 9, 2001
FISERV INVESTOR SERVICES, INC.
July 27, 1995 - September 14, 1998
MOMENTUM INDEPENDENT NETWORK INC.
January 11, 1995 - August 3, 1999
TAYLOR, PRUITT & SYLVESTER, INC.
February 4, 1994 - July 25, 1995
FIRST FINANCIAL SECURITIES OF AMERICA, INC.
September 28, 1993 - July 17, 1995
JOHN HANCOCK DISTRIBUTORS LLC
May 7, 1993 - December 22, 1993
MMAR GROUP, INC.
April 7, 1993 - April 29, 1993
METROPOLITAN LIFE INSURANCE COMPANY
April 7, 1993 - April 29, 1993
MSI FINANCIAL SERVICES, INC.
April 3, 1992 - February 5, 1993
G. R. PHELPS & CO., INC.
June 14, 1991 - March 10, 1992
IDS LIFE INSURANCE COMPANY
June 14, 1991 - March 10, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
January 15, 1990 - June 24, 1991
LEHMAN BROTHERS INC.
August 24, 1988 - December 19, 1989
AVANTAX INVESTMENT SERVICES, INC.
February 15, 1988 - June 24, 1991
LEHMAN BROTHERS INC.
September 26, 1986 - February 15, 1988
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
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
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
