Patrick M. Carrigan
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 Michael Carrigan was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1985. Patrick had worked at 10 firms and has passed the Series 65 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
December 11, 2007 - December 31, 2012
LIFEMARK SECURITIES CORP.
July 28, 2006 - November 9, 2007
LAGOS WEALTH ADVISORS
May 11, 2004 - November 13, 2007
CENTAURUS FINANCIAL, INC.
May 30, 2002 - May 17, 2004
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
December 20, 2001 - June 25, 2002
AMERITAS INVESTMENT COMPANY, LLC
January 9, 1998 - August 17, 2001
AMERITAS INVESTMENT COMPANY, LLC
October 31, 1996 - March 3, 1997
ANDREW GARRETT INC.
May 12, 1992 - December 5, 2001
MML INVESTORS SERVICES, LLC
August 15, 1989 - January 27, 1992
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 15, 1989 - January 27, 1992
EQUITABLE ADVISORS, LLC
May 28, 1985 - April 6, 1989
HORNOR, TOWNSEND & KENT, LLC
Primary Firm SEC Registration
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
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
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
Contact information
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
