Patricia L. Palmer
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 Lee Palmer, who also goes by Patricia Palmer Nance, Patty Lee Palmer, Patty Palmer, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1991. Patricia had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2014 - August 24, 2016
GULF SOUTH SECURITIES, INC
March 3, 2014 - June 9, 2014
TD AMERITRADE, INC.
March 3, 2014 - June 9, 2014
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 21, 2014 - June 9, 2014
TD AMERITRADE, INC.
March 5, 2010 - January 23, 2013
RIDGEWOOD SECURITIES CORPORATION
April 24, 1997 - June 10, 2008
CION SECURITIES, LLC
June 21, 1996 - December 24, 1996
CRISPIN KOEHLER SECURITIES
April 20, 1994 - August 2, 1996
PLM SECURITIES CORP.
January 21, 1991 - August 19, 1992
PHOENIX SECURITIES, 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
GULF SOUTH SECURITIES, INC
CRD#: 149899 / SEC#: , 8-68200
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GULF SOUTH HOLDING, INC. | SHAREHOLDER | |
| BEATON, DANIEL STEWART | FINOP AND CFO | 4240769 |
| FLANAGAN, TIMOTHY JOHN | DIRECTOR, PRESIDENT AND CHIEF COMPLIANCE OFFICER |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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