Patrick E. Herndon
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 Eugene Herndon was a registered financial advisor .
Patrick is a previously registered financial advisor and started their career in finance in 1986. Patrick had worked at 10 firms and has passed the Series 65, Series 63 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
December 10, 2010 - July 30, 2013
SAYBRUS EQUITY SERVICES, LLC
April 15, 2005 - February 6, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 17, 2005 - February 6, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 11, 2004 - March 21, 2005
METLIFE INVESTORS DISTRIBUTION COMPANY
August 10, 2004 - December 11, 2004
METLIFE INVESTORS DISTRIBUTION COMPANY
January 14, 2002 - August 27, 2004
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
July 6, 1994 - September 24, 2001
FIDELITY BROKERAGE SERVICES LLC
August 24, 1992 - July 12, 1994
MONY SECURITIES CORPORATION
November 26, 1990 - August 11, 1992
VP DISTRIBUTORS LLC
December 6, 1989 - November 29, 1990
U.S. SECURITIES CLEARING CORP.
July 23, 1986 - December 13, 1989
TITAN/VALUE EQUITIES GROUP, 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
Exams
Current Firm
SAYBRUS EQUITY SERVICES, LLC
CRD#: 153319 / SEC#: , 8-68521
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAYBRUS HOLDINGS, LLC | PARENT COMPANY | |
| ALI, AZIZ | VICE PRESIDENT | 5030560 |
| CASSIDY, EDWARD WILLIAM JR | EXEC. VP / INTERNAL DIRECTOR | 1606787 |
| COSTENBADER, WALTER RUSSELL | FINOP | 1828345 |
| HALPERIN, JEFFREY PAUL | INTERNAL DIRECTOR | 2899327 |
| LOWE, MOIRA CRONAN | PRESIDENT / CEO / INTERNAL DIRECTOR | 4076427 |
| MOORE, GIDEON CLOYES | CHIEF LEGAL OFFICER | 7011735 |
| SADOWSKI, ADAM MARK | ASSISTANT VICE PRESIDENT | 4578505 |
| SIINO, KATHERINE MARY | AVP & CHIEF COMPLIANCE OFFICER | 1666402 |
| TOMKO, CHRISTINE | CFO, PFO, POO | 6989991 |
| VIETRI, MICHAEL JOSEPH | INTERNAL DIRECTOR | 1068983 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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