Patricia D. Packer
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.
Patricia Diane Packer, who also goes by Patricia Beavers, Patricia Diane Bevers, Patricia Diane Shumaker, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1986. Patricia had worked at 12 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
August 12, 2002 - November 21, 2002
CROWN CAPITAL SECURITIES, L.P.
December 6, 1999 - July 30, 2002
WAMU INVESTMENTS, INC.
July 13, 1998 - December 3, 1999
A. G. EDWARDS & SONS, INC.
July 15, 1996 - June 12, 1998
WELLS FARGO SECURITIES INC.
November 16, 1995 - July 15, 1996
FIRST INTERSTATE INVESTMENTS,INC.
September 11, 1995 - November 9, 1995
LPL FINANCIAL LLC
March 9, 1992 - November 11, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 8, 1991 - December 18, 1991
IDS LIFE INSURANCE COMPANY
April 8, 1991 - December 18, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
November 21, 1989 - December 13, 1990
CAPITAL BROKERAGE CORPORATION
October 12, 1988 - October 17, 1989
PROFESSIONAL ASSET SECURITIES, INC.
November 21, 1986 - January 8, 1987
INTERFIRST CAPITAL CORPORATION
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
CROWN CAPITAL SECURITIES, L.P.
CRD#: 6312 / SEC#: 801-57663, 8-17264
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELTA CAPITAL HOLDINGS, LLC | GENERAL PARTNER | |
| DELTA BROKER HOLDING, LLC | LIMITED PARTNER | |
| EDWARDS, DON MICHAEL | CFO/FINOP/CONTROLLER | 2669488 |
| FRENCH, JONATHAN LEE | PRESIDENT/ MUNICIPAL PRINCIPAL/CROP/CMO/CCO/COO/INV. ADV.SERV. | 3155702 |
| PAULSEN, DAROL KENNETH | CEO/DIR./TREASURER/SROP | 358292 |
| PAULSEN, PHYLLIS JEAN | SR. VP/DIR/CAO DIR./LIC & REG/SEC | 1512757 |
Regulatory assets under management
| Total Number of Accounts | 5,654 |
| AUM (Assets Under Management) | $ 1,223,108,240 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 3 |
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.
