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PT

Patrick L. Trammell

Some features on this profile are disabled
CRD#: 1786493
PT

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.

Patrick Lee Trammell JR, who also goes by Pat L Trammell Jr, Patrick Lee Trammell, was a registered financial professional .

Patrick is a previously registered financial professional and started their career in finance in 1988. Patrick had worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Pat L Trammell Jr | Patrick Lee Trammell

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 3, 2019 - December 31, 2022

LION STREET FINANCIAL, LLC

BD
CRD#: 165828
BIRMINGHAM, AL
Past

December 14, 2016 - December 31, 2018

INVERNESS SECURITIES, LLC

BD
CRD#: 129914
CLEVELAND, OH
Past

December 19, 2013 - September 25, 2017

SAFEGUARD SECURITIES, INC.

BD
CRD#: 31256
MAYFIELD HEIGHTS, OH
Past

August 6, 2013 - August 12, 2013

MVP AMERICAN SECURITIES

BD
CRD#: 118286
LAS VEGAS, NV
Past

August 25, 2010 - July 19, 2013

MVP AMERICAN SECURITIES

BD
CRD#: 118286
BIRMINGHAM, AL
Past

May 29, 2007 - August 20, 2010

FNBB CAPITAL MARKETS, LLC

BD
CRD#: 132091
BIRMINGHAM, AL
Past

January 7, 2005 - May 25, 2007

M HOLDINGS SECURITIES, INC.

BD
CRD#: 43285
BIRMINGHAM, AL
Past

September 24, 1999 - November 16, 2006

NEW ENGLAND SECURITIES

BD
CRD#: 615
BIRMINGHAM, AL
Past

April 1, 1998 - June 2, 1998

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
BIRMINGHAM, AL
Past

January 12, 1988 - April 1, 1998

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/15/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 1/11/1988
Investment Company Products/Variable Contracts Representative Examination

Current Firm

LS
LION STREET FINANCIAL, LLC
LION STREET FINANCIAL, LLC

CRD#: 165828 / SEC#: , 8-69183

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

Main Address
300 Colorado St Suite 2600, Austin, TX 78701
Mailing Address
300 Colorado St Suite 2600, Austin, TX 78701
Phone number
(512) 776-8400
Established
Delaware since 01/07/2022
Firm type
Limited Liability Company
Fiscal year end
January
Firm Size
Small
# of Employees

FINRA licenses (23 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#
LION STREET, LLCHOLDING COMPANY
BURMEISTER, JOHN FREDRICK IIPRESIDENT & CEO4245451
HECKLER, CARIE MARIECHIEF COMPLIANCE OFFICER4557559
RATAJCZAK, KARIFINANCIAL & OPERATIONS PRINCIPAL6008791

Disclosures

Regulatory Event1

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

LION STREET FINANCIAL, LLC

CRD#: 165828

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