Tim M. Patch
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.
Tim Mckeever Patch, who also goes by Timothy Mckeever Patch, was a registered financial professional .
Tim is a previously registered financial professional and started their career in finance in 1987. Tim had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2015 - June 8, 2015
FIDELITY BROKERAGE SERVICES LLC
September 30, 2013 - September 18, 2014
VANGUARD MARKETING CORPORATION
April 22, 2011 - April 22, 2013
VANGUARD MARKETING CORPORATION
October 21, 1999 - July 17, 2003
CHARLES SCHWAB & CO., INC.
April 10, 1998 - October 28, 1998
LOCUST STREET SECURITIES, INC.
January 11, 1996 - April 18, 1996
FIDELITY BROKERAGE SERVICES LLC
June 24, 1994 - September 12, 1994
A. G. EDWARDS & SONS, INC.
June 6, 1994 - August 16, 1994
WMA SECURITIES, INC.
January 8, 1994 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 14, 1987 - December 22, 1993
FIDELITY BROKERAGE SERVICES LLC
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
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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.
