Patrick Joseph Forbes
Professional Summary
Patrick Joseph Forbes, who also goes by Pat Forbes, is a registered financial advisor currently at PUMA CAPITAL, LLC located in Jupiter, Florida. Patrick is registered as a RR (Registered Representative) and started their career in finance in 1989. Patrick has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 12 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Pat Forbes
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
37 years in the financial services industry
Current & Past Employments
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Current Firm
PUMA CAPITAL, LLC
Contact Information
Main Address
555 Theodore Fremd Avenue Suite C204, Rye, NY 10580Mailing Address
555 Theodore Fremd Avenue Suite C204, Rye, NY 10580Phone Number
(212) 269-4100Established
Florida since 02/09/2007Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (15 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(1/5/2026)
(1/5/2026)
(7/30/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Mar 2008Series 12 — NYSE Branch Manager Examination
Passed Dec 2002SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Patrick Joseph Forbes's CRS (Customer Relationship Summary).
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