Patricia A. Caldwell
Professional summary
Patricia Ann Caldwell is a registered financial professional currently at GORDIAN GROUP, LLC located in New York, New York.
Patricia is registered as a RR (Registered Representative) and started their career in finance in 1989. Patricia has worked at 1 firm and has passed the Series 99TO, Series 79TO, SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Patricia Ann Caldwell's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 31, 1989 - Present
GORDIAN GROUP, LLC
Office #1: 126 East 56th Street 14th Fl., New York, NY 10022Office #2: 126 East 56th Street 14th Floor, New York, NY 10022State 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
GORDIAN GROUP, LLC
CRD#: 24034 / SEC#: , 8-40861
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GORDIAN ACQUISITION CORP. | MEMBER | |
| BACH, KRISTINA | FINOP | 4281682 |
| CALDWELL, PATRICIA ANN | SENIOR MANAGING DIRECTOR/FOUNDING PARTNER | 1923585 |
| HERMAN, DAVID LAWRENCE | PRESIDENT | 4262300 |
| KAUFMAN, PETER SANGER | MANAGING PARTNER/INVESTMENT BANKING PRINCIPAL | 1530462 |
| OWSLEY, HENRY FURLOW III | FOUNDING PARTNER/SENIOR MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER/INVESTMENT BANKING PRINCIPAL | 1051167 |
Red Flags
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