Patrick Springer
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 Springer, who also goes by Patrick Logan Springer, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1989. Patrick had worked at 3 firms and has passed the Series 63, Series 16, Series 57TO, SIE, Series 3, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 2019 - May 17, 2023
HUATAI SECURITIES (USA), INC.
March 25, 1997 - April 3, 2018
MORGAN STANLEY & CO. LLC
September 21, 1989 - April 28, 1995
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 2/6/2021
Securities Trader ExamCurrent Firm
HUATAI SECURITIES (USA), INC.
CRD#: 298809 / SEC#: , 8-70231
Contact information
FINRA licenses (19 States and Territories)
Documents
Direct owners and executive officers
Red Flags
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