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PT

Patricia T. Ter Heun

STRATEGIC MARKETING SOLUTIONS LTD.
Sausalito, CA 94965
Some features on this profile are disabled
CRD#: 1407495
PT

Professional summary

Patricia Totten Ter Heun, who also goes by Patricia Rios, Patricia Totten Ter Heun Pyeatt, Patricia Totten Terheunpyeatt, is a registered financial professional currently at STRATEGIC MARKETING SOLUTIONS LTD., LLC located in Sausalito, California.

Patricia is registered as a RR (Registered Representative) and started their career in finance in 1986. Patricia has worked at 6 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Patricia Rios | Patricia Totten Ter Heun Pyeatt | Patricia Totten Terheunpyeatt

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Patricia Totten Ter Heun's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 28, 2008 - Present

STRATEGIC MARKETING SOLUTIONS LTD., LLC

Office #1: 2302b Bridgeway, Sausalito, CA 94965Office #2: 2302b Bridgeway, Sausalito, CA 94965
BD
CRD#: 145577
Sausalito, CA
Past

October 24, 2006 - January 31, 2008

KALORAMA CAPITAL, LLC

BD
CRD#: 104155
WASHINGTON, DC
Past

December 13, 1993 - May 15, 1998

CRISPIN KOEHLER SECURITIES

BD
CRD#: 10596
TAMPA, FL
Past

October 2, 1990 - October 21, 1991

PHOENIX SECURITIES, INC.

BD
CRD#: 10507
SAN RAFAEL, CA
Past

June 3, 1986 - January 19, 1987

BWS, INC.

BD
CRD#: 17569
Past

February 5, 1986 - April 19, 1986

FIRST COLUMBIA CORPORATION

BD
CRD#: 6443

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(1/29/2008)
RR
Connecticut
(8/19/2016)
RR
Florida
(5/6/2016)
RR
Massachusetts
(8/8/2025)
RR
New York
(8/23/2010)
RR
Ohio
(12/20/2011)
RR
Texas
(11/15/2010)

Exams

State Security Law Exam
RR
Series 63
Date: 9/25/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/1/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/2/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SM
STRATEGIC MARKETING SOLUTIONS LTD., LLC
STRATEGIC MARKETING SOLUTIONS LTD., LLC

CRD#: 145577 / SEC#: , 8-67741

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
2302b Bridgeway, Sausalito, CA 94965
Mailing Address
2302b Bridgeway, Sausalito, CA 94965
Phone number
(415) 298-8939
Established
California since 09/21/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (7 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TER HEUN PYEATT, PATRICIA TOTTENMANAGING MEMBER, CCO, EXECUTIVE REPRESENTATIVE1407495
COLLINS, ELIZABETH SARAHCFO/FINOP4714831

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.

Company Information

STRATEGIC MARKETING SOLUTIONS LTD., LLC

CRD#: 145577Sausalito, CA 94965

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