Patrick O. Nugent
Professional summary
Patrick Orvil Nugent was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Patrick is a previously registered financial advisor and started their career in finance in 1987. Prior to being barred, Patrick had worked at 7 firms, which includes UNITED SECURITIES ALLIANCE INC., CETERA ADVISORS LLC, OSAIC WEALTH INC., FIRST CALIFORNIA CAPITAL MARKETS GROUP INC., CALIFORNIA ONE INVESTMENTS, GREAT WESTERN FINANCIAL SECURITIES CORPORATION, AGFC INVESTMENT SECURITIES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2004 - January 12, 2005
UNITED SECURITIES ALLIANCE, INC.
October 30, 2002 - December 31, 2003
UNITED SECURITIES ALLIANCE, INC.
August 27, 2002 - January 12, 2005
UNITED SECURITIES ALLIANCE, INC.
July 8, 1997 - August 7, 2002
CETERA ADVISORS LLC
June 1, 1995 - June 22, 1995
OSAIC WEALTH, INC.
July 8, 1993 - August 7, 2002
CETERA ADVISORS LLC
March 19, 1991 - August 3, 1993
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
January 23, 1991 - April 24, 1991
CALIFORNIA ONE INVESTMENTS
April 26, 1990 - February 14, 1991
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
March 2, 1989 - April 7, 1990
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
July 15, 1987 - February 25, 1989
AGFC INVESTMENT SECURITIES
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
UNITED SECURITIES ALLIANCE, INC.
CRD#: 36487 / SEC#: , 8-47282
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| US ALLIANCE HOLDINGS, INC. | OWNER | |
| BLOOMINGKEMPER, RONALD KEITH | CHAIRMAN OF BOARD | 1087036 |
| CANNELLA, JEFFREY JAMES | PRESIDENT, CHIEF COMPLIANCE OFFICER, SROP/CROP | 2236889 |
| DAVIS, DANA LORAINE | INSURANCE PRINCIPAL, IA/CCO | 1715382 |
| JONES, MICHAEL WASHINGTON | EXECUTIVE VICE PRESIDENT / DIRECTOR | 3248874 |
| PETRINOVICH, RONALD JAMES | DIRECTOR | 1099207 |
| SUTHERLAND, PATRICK EMANUEL | DIRECTOR/FINOP | 3042322 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 4 |
Red Flags
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