Tina K. Singh
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.
Tina K Singh, who also goes by Tina Haveen Chura, Harveen Kaur Ghura, Harveen Ghura, Haveen Tina Ghura, Tina Haveen Ghura, Tina Singh Ghura, Tina Ghura, Harveen Singh, Tina Singh, was a registered financial professional .
Tina is a previously registered financial professional and started their career in finance in 1984. Tina had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 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
November 16, 2017 - August 30, 2018
PATRICK CAPITAL MARKETS, LLC
November 17, 2009 - December 11, 2015
TSC DISTRIBUTORS, LLC
December 17, 2004 - August 14, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 5, 2001 - October 23, 2003
DOHERTY & COMPANY, LLC
March 1, 1988 - September 22, 1999
UBS FINANCIAL SERVICES INC.
February 1, 1988 - March 8, 1988
CIBC WORLD MARKETS CORP.
November 25, 1986 - February 5, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
December 3, 1985 - December 22, 1986
M. AMARICO, INC.
December 17, 1984 - October 1, 1985
FORESTERS FINANCIAL SERVICES, 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
PATRICK CAPITAL MARKETS, LLC
CRD#: 16518 / SEC#: , 8-34099
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAXONY FINANCIAL HOLDINGS, LLC. | SOLE OWNER/ MEMBER | |
| CLARK, BRIAN LESLEY | PRESIDENT, CEO, AND CFO | 4802438 |
| KLUMP, RYAN CHRISTOPHER | SENIOR VICE PRSIDENT | 4762698 |
| MATARAZZI, NATHAN DOMENICO | FINOP, POO AND PFO | 4827090 |
| MITCHELL, JARAD BYRAM | COO | 4811305 |
| WEBSTER, TERRANCE MICHAEL | CHIEF COMPLIANCE OFFICER | 6826889 |
Disclosures
| Regulatory Event | 1 |
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.
