Patience L. Taylor
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.
Patience Lane Taylor, who also goes by Patience Lane Moniz, Patience Lane Thomas, was a registered financial advisor .
Patience is a previously registered financial advisor and started their career in finance in 1988. Patience had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 23 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2002 - July 20, 2007
BROOKSTREET SECURITIES CORPORATION
February 21, 2002 - July 20, 2007
BROOKSTREET SECURITIES CORPORATION
August 18, 2000 - November 18, 2002
UBS FINANCIAL SERVICES INC.
July 12, 1996 - August 25, 2000
CITIGROUP GLOBAL MARKETS INC.
August 26, 1993 - July 24, 1996
CHARLES SCHWAB & CO., INC.
October 10, 1991 - August 3, 1993
UBS FINANCIAL SERVICES INC.
May 8, 1991 - October 29, 1991
PFS INVESTMENTS INC.
April 8, 1989 - May 15, 1989
J.P. MORGAN SECURITIES LLC
August 23, 1988 - December 31, 1988
INTERNATIONAL HERITAGE SECURITIES, 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
Series 8
Date: 6/7/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
BROOKSTREET SECURITIES CORPORATION
CRD#: 14667 / SEC#: , 8-31032
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEE | SHAREHOLDER / OWNER | |
| BROOKS, STANLEY CLIFTON | PRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST | 31684 |
Disclosures
| Regulatory Event | 25 |
| Civil Event | 1 |
| Arbitration | 22 |
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.
