Patrick R. Burke
Professional summary
Patrick Ronald Burke JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Patrick is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Patrick had worked at 6 firms, which includes SANDGRAIN SECURITIES LLC, RAFFERTY CAPITAL MARKETS LLC, ROCHDALE SECURITIES LLC, MOORS & CABOT INC., INDEPENDENCE INSTITUTIONAL SECURITIES & COMPANY L.P., P.R. BURKE & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 4, 2012 - July 22, 2013
SANDGRAIN SECURITIES LLC
November 16, 2012 - September 11, 2014
RAFFERTY CAPITAL MARKETS, LLC
August 4, 1998 - November 19, 2012
ROCHDALE SECURITIES LLC
October 1, 1997 - August 10, 1998
MOORS & CABOT, INC.
August 3, 1995 - December 3, 1998
INDEPENDENCE INSTITUTIONAL SECURITIES & COMPANY, L.P.
April 8, 1991 - September 1, 1998
P.R. BURKE & CO., 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 55
Date: 2/18/1999
Limited Representative-Equity Trader ExamCurrent Firm
SANDGRAIN SECURITIES LLC
CRD#: 26004 / SEC#: , 8-42262
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
