Patrick W. Leahy
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 Worrall Leahy, who also goes by Pat Leahy, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1990. Patrick had worked at 8 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2004 - March 8, 2013
CIC MARKET SOLUTIONS, INC.
June 27, 2000 - November 21, 2002
MORGAN STANLEY & CO. LLC
May 5, 1997 - June 23, 2000
ARGENTARIA INTERNATIONAL SECURITIES INC.
April 10, 1997 - April 16, 1997
BONDNET BROKERAGE, INCORPORATED
April 10, 1997 - April 22, 1997
M.W. MARSHALL SECURITIES, L.L.C
March 24, 1993 - July 16, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 29, 1990 - April 5, 1991
IDS LIFE INSURANCE COMPANY
January 29, 1990 - April 5, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
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
CIC MARKET SOLUTIONS, INC.
CRD#: 47069 / SEC#: , 8-51649
Contact information
FINRA licenses (5 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CREDIT INDUSTRIEL ET COMMERCIAL (CIC) | DIRECT OWNER | |
| ANGUE, GUILLAUME DANIEL | CHAIRMAN | 5251066 |
| BERENGUIER, RENAUD JEAN-MICHEL | BOARD MEMBER | 7453449 |
| ENGLESE, ALEX JOSEPH | CCO | 2634300 |
| ENGLESE, ALEX JOSEPH | PRESIDENT/CEO | 2634300 |
| FORTINO, ROBERT ANTHONY | FINOP/PFO | 1905741 |
| LANOE, GUILLAUME | BOARD MEMBER | 8048039 |
| MONRIQUE, YVES | BOARD MEMBER | 7226581 |
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.
