Patrick J. Schroder
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.
Patrick James Schroder was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1991. Patrick had worked at 14 firms and has passed the Series 65, Series 63, Series 57TO, Series 79TO, Series 52TO, SIE, Series 31, Series 55, Series 7, Series 9, Series 10, Series 53, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2023 - February 19, 2025
J.W. COLE FINANCIAL, INC.
October 7, 2014 - August 15, 2023
LPL FINANCIAL LLC
February 13, 2013 - October 3, 2014
RAYMOND JAMES & ASSOCIATES, INC.
February 13, 2007 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
February 10, 2006 - February 13, 2007
AMSOUTH INVESTMENT SERVICES, INC.
October 17, 2005 - December 16, 2005
BROWNCO, LLC
October 8, 2003 - July 19, 2005
GUNNALLEN FINANCIAL, INC
October 8, 2003 - July 19, 2005
GUNNALLEN FINANCIAL, INC
December 17, 1998 - December 31, 2000
INVESTMENT CENTERS OF AMERICA, INC.
June 19, 1998 - August 12, 2002
INVEST FINANCIAL CORPORATION
June 17, 1998 - August 12, 2002
INVEST FINANCIAL CORPORATION
July 12, 1994 - June 2, 1998
AMERIPRISE ADVISOR SERVICES, INC.
February 25, 1994 - March 10, 1994
QUICK & REILLY, INC.
February 10, 1992 - November 8, 1993
ARGUS SECURITIES, INC.
October 22, 1991 - January 3, 1992
ARGUS SECURITIES, INC.
October 10, 1991 - October 29, 1991
J. W. GANT & ASSOCIATES, INC.
July 5, 1991 - September 13, 1991
CHATFIELD DEAN & 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 6/2/2004
Limited Representative-Equity Trader ExamCurrent Firm
J.W. COLE FINANCIAL, INC.
CRD#: 124583 / SEC#: , 8-65698
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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