Patricia A. Stone
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.
Patricia Ann Stone, who also goes by Patricia Ann Nuffer, Patricia Ann Reynolds, Pat Stone, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1989. Patricia had worked at 9 firms and has passed the Series 65, Series 63, SIE 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
May 17, 2010 - November 28, 2011
SECURE FINANCIAL ADVISORS LLC
March 23, 2010 - June 30, 2017
FORESTERS EQUITY SERVICES, INC.
December 1, 2006 - March 18, 2010
QUESTAR CAPITAL CORPORATION
April 4, 2006 - December 1, 2006
USALLIANZ SECURITIES, INC.
February 26, 2001 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
February 26, 2001 - April 6, 2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 12, 1996 - February 13, 2001
SII INVESTMENTS, INC.
August 3, 1994 - September 9, 1996
LUTHERAN BROTHERHOOD SECURITIES CORP.
November 1, 1989 - August 8, 1994
THRIVENT INVESTMENT MANAGEMENT INC.
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
No current employment
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.
