Patrick J. Dolan
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 John Dolan, who also goes by Patrick Dolan, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1986. Patrick had worked at 13 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 15, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2016 - December 20, 2021
ECOBAN SECURITIES CORPORATION
May 14, 2014 - December 19, 2014
NORTH CAPITAL PRIVATE SECURITIES CORPORATION
October 29, 2010 - May 11, 2012
KGS-ALPHA CAPITAL MARKETS, L.P.
May 2, 2006 - September 28, 2010
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 15, 2004 - May 18, 2006
FLAGSTONE SECURITIES, LLC
January 3, 2003 - October 13, 2004
OPPENHEIMER & CO. INC.
February 5, 2002 - January 3, 2003
CIBC WORLD MARKETS CORP.
June 8, 2001 - January 17, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 19, 2000 - May 22, 2001
EBOND SECURITIES INC.
January 28, 1995 - February 11, 1999
UBS FINANCIAL SERVICES INC.
October 31, 1991 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
May 18, 1989 - October 1, 1991
CITICORP SECURITIES, INC.
March 19, 1986 - April 11, 1989
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 12/5/2022
General Securities Representative ExaminationSeries 15
Date: 4/24/1986
Foreign Currency Options ExaminationSeries 5
Date: 4/11/1986
Interest Rate Options ExaminationCurrent Firm
ECOBAN SECURITIES CORPORATION
CRD#: 29112 / SEC#: , 8-39753
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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