Patricia A. Pokuta
Professional summary
Patricia Ann Pokuta, who also goes by Patricia Ann Keleher, Patricia Pokuta, Trish Pokuta, Patricia Ann Wooten, is a registered financial professional currently at GAR WOOD SECURITIES, LLC located in Naperville, Illinois.
Patricia is registered as a RR (Registered Representative) and started their career in finance in 1988. Patricia has worked at 9 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7, Series 24, Series 27 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Patricia Ann Pokuta's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 11, 2019 - Present
GAR WOOD SECURITIES, LLC
Office #1: 1250 East Diehl Road Suite 115, Naperville, IL 60563June 25, 2014 - July 17, 2018
SPIDERROCK EXS, LLC
November 29, 2007 - September 6, 2012
ABN AMRO CLEARING USA LLC
August 16, 2006 - November 16, 2007
NATWEST MARKETS SECURITIES INC.
January 23, 2006 - May 10, 2006
VANTHEDGEPOINT SECURITIES, LLC
April 23, 1998 - November 25, 2005
NEWEDGE FINANCIAL INC.
January 24, 1996 - December 23, 1997
TD PROFESSIONAL EXECUTION, INC.
November 28, 1990 - February 6, 1995
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
April 15, 1988 - June 15, 1990
MF GLOBAL 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
(5/11/2019)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
GAR WOOD SECURITIES, LLC
CRD#: 138033 / SEC#: , 8-67143
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GERECKE, DENNIS ROBERT | CLASS A MEMBER, EVP, COO, ROSFP | 1856554 |
| JERSEY, ROBERT STANTON | CEO, CLASS A MEMBER, SOLE MGR. | 1592359 |
| ROETTGER, ANDREW | CLASS B MEMBER | 7427489 |
| JERSEY, RICHARD ANDREW | CLASS B MEMBER | 8002945 |
| DOOLEY, BRADFORD R | OUTSIDE FINOP, PRIMARY FINANCIAL OFFICER, PRIMARY OPERATIONS OFFICER | 4308078 |
| GANTAR, CRAIG MICHAEL | CLASS B MEMBER, SVP, SALES MANAGER | 3238628 |
| GOUWENS, SHERRY LEE | CLASS B MEMBER , CHIEF ADMINISTRATIVE OFFICER | 4458617 |
| JERSEY, ROBERT COLEMAN | CLASS B MEMBER, SVP - SENIOR RELATIONSHIP MGR | 5870086 |
| TATTAS, MICHAEL CARL | CLASS B MEMBER, CHIEF COMPLIANCE OFFICER | 4386824 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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