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Patrick Ronald Burke Jr

CRD# 2133167·Registered 1991 - 2013
Barred: Patrick Ronald Burke JR was barred by the SEC and is not permitted to conduct business in the covered capacity.

Professional Summary

Patrick Ronald Burke JR was a registered financial advisor. Patrick was a previously registered financial professional and started their career in finance 1991 - 2013. Patrick had worked at 6 firms and has passed the Series 63, Series 55 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

35 years in the financial services industry

Current & Past Employments

SANDGRAIN SECURITIES LLC·CRD# 26004
BD
Garden City, NY
December 4, 2012 - July 22, 2013
RAFFERTY CAPITAL MARKETS, LLC·CRD# 23682
BD
Rowayton, CT
November 16, 2012 - September 11, 2014
ROCHDALE SECURITIES LLC·CRD# 6863
BD
Stamford, CT
August 4, 1998 - November 19, 2012
MOORS & CABOT, INC.·CRD# 594
BD
Boston, MA
October 1, 1997 - August 10, 1998
INDEPENDENCE INSTITUTIONAL SECURITIES & COMPANY, L.P.·CRD# 36843
BD
Middleburg, VA
August 3, 1995 - December 3, 1998
P.R. BURKE & CO., INC.·CRD# 13558
BD
New York, NY
April 8, 1991 - September 1, 1998

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Current Firm

SS
SANDGRAIN SECURITIES LLC

SANDGRAIN SECURITIES LLC | SANDGRAIN SECURITIES, INC.

CRD#: 26004 / SEC#: 8-42262
BD
Terminated by SEC on 09/27/2013

Contact Information

Established

New York since 12/31/2011

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
KRH AQUISITION LLCSHAREHOLDER—
RAFFERTY HOLDINGS LLCSHAREHOLDER—
HAY, KATHLEEN RAFFERTYPRESIDENT, CEO5045127
NAPOLITANO, ANTHONY FRIEDCHIEF COMPLIANCE OFFICER—
SPRAGUE, STEPHEN PACKARDFINOP2516579

Disclosures

Regulatory Event

2

Arbitration

1

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1991About the Series 63 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Feb 1999

Series 7 — General Securities Representative Examination

Passed Apr 1991About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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