Patrick J. Diggins
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 James Diggins, who also goes by Patrick J Diggins, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 2000. Patrick had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 7A exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 2, 2020 - July 13, 2021
WALL STREET ACCESS
January 23, 2014 - October 18, 2018
WALL STREET ACCESS
November 8, 2010 - February 19, 2014
PRINCETON SECURITIES GROUP, LLC
October 20, 2009 - November 3, 2010
CANACCORD GENUITY SECURITIES LLC
August 15, 2008 - November 13, 2009
WALL STREET ACCESS
February 7, 2003 - December 1, 2006
TROY SECURITIES, INC.
April 24, 2002 - February 6, 2003
DIGGINS, PATRICK JAMES
July 6, 2000 - April 8, 2002
KV EXECUTION SERVICES LLC
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
Series 7A
Date: 12/25/1998
Floor Broker Representative ExamCurrent Firm
WALL STREET ACCESS
CRD#: 10012 / SEC#: , 8-25936
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DPK SECURITIES, LLC | 98% OWNER/GENERAL PARTNER | |
| DENIS P. KELLEHER, LLC | 2% OWNER/GENERAL PARTNER | |
| GOETCHIUS, ARTHUR LEROY | CHIEF EXECUTIVE OFFICER | 1374251 |
| KELLEHER, SEAN MICHAEL | PRESIDENT | 1726997 |
| LAVIN, WILLIAM KANE JR | EXECUTIVE MANAGING DIRECTOR / ROSFP | 2703117 |
| MITCHELL, JOHN LOUIS | CHIEF FINANCIAL OFFICER / FINOP | 2193524 |
| O'CONNELL, JOHN PATRICK | ASSISTANT CONTROLLER | 4698479 |
| VISCOVICH, GREGORY DOMINIC | CHIEF COMPLIANCE OFFICER | 2621348 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 15 |
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.
