Patricia J. Sears-million
Professional summary
Patricia Jean Sears-million was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Patricia is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Patricia had worked at 7 firms, which includes KOVACK SECURITIES INC., METROPOLITAN INVESTMENT SECURITIES INC., SAN CLEMENTE SECURITIES INC., LOCUST STREET SECURITIES INC., LEGEND EQUITIES CORPORATION, FIRST INTERSTATE INVESTMENTSINC., ESSEX NATIONAL SECURITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2003 - April 1, 2004
KOVACK SECURITIES INC.
September 21, 1998 - December 12, 2003
METROPOLITAN INVESTMENT SECURITIES, INC.
June 23, 1997 - September 21, 1998
SAN CLEMENTE SECURITIES, INC.
February 7, 1997 - June 23, 1997
LOCUST STREET SECURITIES, INC.
June 13, 1996 - November 8, 1996
LEGEND EQUITIES CORPORATION
August 29, 1995 - October 23, 1995
FIRST INTERSTATE INVESTMENTS,INC.
February 12, 1992 - October 26, 1995
ESSEX NATIONAL SECURITIES, LLC
State Registrations and Notice Filings
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Exams
Series 62
Date: 12/8/1998
Corporate Securities Limited Representative ExaminationCurrent Firm
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
Red Flags
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