Patrick J. Collins
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 J Collins, who also goes by Patrick James Collins, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1985. Patrick had worked at 7 firms and has passed the Series 65, Series 63, SIE 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
January 17, 2013 - March 1, 2013
KESTRA INVESTMENT SERVICES, LLC
January 17, 2013 - March 27, 2020
KESTRA INVESTMENT SERVICES, LLC
September 8, 2006 - December 7, 2011
SOLENTURE ADVISORS LLC
June 22, 2006 - December 7, 2011
NEWEDGE SECURITIES, LLC
August 1, 2003 - June 28, 2006
WALNUT STREET SECURITIES, INC.
December 12, 1996 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
August 1, 1994 - December 13, 1996
KEOGLER, MORGAN & COMPANY, INC.
February 20, 1985 - August 4, 1994
JOHN HANCOCK DISTRIBUTORS LLC
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
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| 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.
