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Patricia A. Masel

U.S. STERLING SECURITIES
Hauppauge, NY 11788
Some features on this profile are disabled
CRD#: 1613954
PM

Professional summary

Patricia Ann Masel, who also goes by Patricia Ann Erickson, Patricia Ann Masel Erickson, is a registered financial professional currently at U.S. STERLING SECURITIES, INC. located in Hauppauge, New York.

Patricia is registered as a RR (Registered Representative) and started their career in finance in 1987. Patricia has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Patricia Ann Erickson | Patricia Ann Masel Erickson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Patricia Ann Masel's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 5, 2002 - Present

U.S. STERLING SECURITIES, INC.

Office #1: 1393 Veterans Memorial Highway Unit 412n, Hauppauge, NY 11788Office #2: 1393 Veterans Memorial Highway 412n, Hauppauge, NY 11788
BD
CRD#: 35912
Hauppauge, NY
Past

May 8, 2000 - September 6, 2000

PIONEER PORTFOLIO CORP.

BD
CRD#: 17817
COPIAGUE, NY
Past

June 5, 1997 - May 5, 1998

SOUTHEASTERN SECURITIES, INC.

BD
CRD#: 35502
MIAMI, FL
Past

November 13, 1993 - December 7, 1995

PIONEER PORTFOLIO CORP.

BD
CRD#: 17817
COPIAGUE, NY
Past

November 18, 1991 - September 8, 1993

TRIPP & CO., INC.

BD
CRD#: 6967
NEW YORK, NY
Past

April 29, 1991 - November 11, 1991

PIONEER PORTFOLIO CORP.

BD
CRD#: 17817
COPIAGUE, NY
Past

February 24, 1989 - October 16, 1990

SOUTH RICHMOND SECURITIES, INC.

BD
CRD#: 14913
Past

February 26, 1987 - February 27, 1989

PIONEER PORTFOLIO CORP.

BD
CRD#: 17817

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(11/17/2014)
RR
Illinois
(8/22/2013)
RR
Massachusetts
(9/25/2012)
RR
New York
(9/28/2002)
RR
Ohio
(8/20/2003)
RR
Pennsylvania
(8/14/2003)

Exams

State Security Law Exam
RR
Series 63
Date: 1/27/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/11/1989
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/25/1987
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/29/1989
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

US
U.S. STERLING SECURITIES, INC.
U.S. STERLING SECURITIES, INC.

CRD#: 35912 / SEC#: , 8-47052

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
1393 Veterans Memorial Highway Unit 412n, Hauppauge, NY 11788
Mailing Address
1393 Veterans Memorial Highway Unit 412n, Hauppauge, NY 11788
Phone number
(631) 360-2829
Established
New York since 03/10/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (43 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
U. S. STERLING CAPITAL CORPORATIONDOMESTIC ENTITY SHAREHOLDER
GOLDMAN, GEORGE ROBERTFINOP/CO-CCO/ROP/VP FINANCE1315513
ORR, BRIAN JUSTINMANAGING DIRECTOR/EXECUTIVE VP4030228
ORR, HERBERT ARTHUR JRPRESIDENT/CEO/CCO2124439
ORR, SHAWN WILLIAMEXECUTIVE VICE PRESIDENT/CCO4543396

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.

Company Information

U.S. STERLING SECURITIES, INC.

CRD#: 35912Hauppauge, NY 11788

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