Patricia A. Mcgivern
Professional summary
Patricia Ann Mcgivern is a registered financial professional currently at ASSETMARK BROKERAGE, LLC located in Concord, California.
Patricia is registered as a RR (Registered Representative) and started their career in finance in 1989. Patricia has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Patricia Ann Mcgivern's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 15, 2014 - Present
ASSETMARK BROKERAGE, LLC
Office #1: 1655 Grant Street 10th Floor, Concord, CA, 94520June 21, 2011 - August 15, 2014
CAPITAL BROKERAGE CORPORATION
November 29, 1995 - January 31, 2011
CHARLES SCHWAB & CO., INC.
April 23, 1990 - October 30, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 6, 1989 - March 3, 1990
PIPER SANDLER & CO.
July 18, 1989 - November 1, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/15/2014)
Exams
Series 8
Date: 10/14/1998
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
ASSETMARK BROKERAGE, LLC
CRD#: 169804 / SEC#: , 8-69391
Contact information
FINRA licenses (53 States and Territories)
Documents
Red Flags
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Company Information
ASSETMARK BROKERAGE, LLC
CRD#: 169804Concord, CA 94520TRUST BUT VERIFY
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