Patricia L. Whipple
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 Louise Whipple, who also goes by Patricia Louise Kollodge, Patricia Kollodge, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1991. Patricia had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53, Series 27 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
June 18, 2012 - November 4, 2016
NEXT FINANCIAL GROUP, INC.
June 14, 2012 - November 4, 2016
NEXT FINANCIAL GROUP, INC.
August 22, 2007 - June 15, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 16, 2007 - June 15, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 25, 2003 - July 18, 2006
SYNOVUS SECURITIES, INC.
December 9, 1998 - July 18, 2006
SYNOVUS SECURITIES, INC.
April 18, 1996 - December 7, 1998
AMSOUTH INVESTMENT SERVICES, INC.
April 17, 1991 - April 22, 1996
BARNETT INVESTMENTS, 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
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
