Patricia H. Smith
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 Henderson Smith, who also goes by Patricia Boyd Henderson, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1991. Patricia had worked at 4 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 1993 - July 29, 1993
AMERICAN CAPITAL CORPORATION
July 21, 1992 - April 16, 1993
BUCKHEAD FINANCIAL CORPORATION
May 8, 1991 - June 29, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
May 8, 1991 - June 29, 1992
PRUCO SECURITIES, 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
AMERICAN CAPITAL CORPORATION
CRD#: 16124 / SEC#: , 8-33324
Contact information
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.
