Patrick G. Spiroff
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 George Spiroff was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1998. Patrick had worked at 6 firms and has passed the Series 99TO, Series 3, SIE, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2023 - May 5, 2026
NATISA SECURITIES LLC
December 4, 2017 - March 9, 2023
WEDBUSH SECURITIES INC.
December 17, 2015 - May 27, 2016
C & H OPTION TRADING INC.
August 16, 2011 - January 20, 2015
CHOPPER SECURITIES, LLC
October 19, 2007 - August 12, 2011
BLUE CAPITAL GROUP LLC
April 9, 2003 - July 30, 2007
TD PROFESSIONAL EXECUTION, INC.
May 14, 1998 - April 11, 2001
TD PROFESSIONAL EXECUTION, 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
Series 99TO
Date: 2/11/2023
Operations Professional ExaminationCurrent Firm
NATISA SECURITIES LLC
CRD#: 323904 / SEC#: , 8-71010
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
