Patrick Y. Grumieaux
Professional summary
Patrick Yves Grumieaux is a registered financial professional currently at BROKERTEC AMERICAS LLC located in New York, New York.
Patrick is registered as a RR (Registered Representative) and started their career in finance in 1986. Patrick has worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Patrick Yves Grumieaux's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 1, 2003 - Present
BROKERTEC AMERICAS LLC
Office #1: 300 Vesey Street 7th Floor, New York, NY 10282Office #2: 300 Vesey Street 7th Floor, New York, NY 10282May 27, 2003 - July 1, 2003
EASTERN POINT ADVISORS INC.
May 27, 2003 - July 1, 2003
INVESTORS CAPITAL CORP.
September 20, 2002 - December 3, 2002
CENTAURUS FINANCIAL, INC.
September 20, 2002 - December 3, 2002
CENTAURUS FINANCIAL, INC.
June 6, 2001 - July 31, 2002
EQUITABLE ADVISORS, LLC
April 20, 2001 - July 31, 2002
EQUITABLE ADVISORS, LLC
March 31, 1995 - April 17, 2000
DAIWA CAPITAL MARKETS AMERICA INC.
March 23, 1993 - March 15, 1995
COWEN AND COMPANY
May 25, 1988 - March 25, 1991
CITICORP FINANCIAL SERVICES,INC.
March 19, 1986 - May 19, 1986
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
(1/14/2020)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
BROKERTEC AMERICAS LLC
CRD#: 47477 / SEC#: , 8-51803
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROKERTEC HOLDINGS INC. | 100% OWNERSHIP | |
| CALDERON, DAVID JASON | CHIEF FINANCIAL OFFICER | 4575354 |
| DENNIS, MICHAEL | DIRECTOR | 4192184 |
| HIRSCHMANN, ELISA M | CHIEF COMPLIANCE OFFICER AND DIRECTOR | 5112554 |
| WAKEFIELD, JONATHAN BISHOP | CEO - CHIEF EXECUTIVE OFFICER AND DIRECTOR | 1676639 |
| WEINMAN, ANDREW LEONARD | CHIEF OPERATIONS OFFICER AND DIRECTOR | 5209879 |
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.
