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Patricia Brambley

Some features on this profile are disabled
CRD#: 2197597
PB

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 Brambley, who also goes by Trisha Brambley, was a registered financial professional .

Patricia is a previously registered financial professional and started their career in finance in 1991. Patricia had worked at 9 firms and has passed the Series 65, Series 63 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Trisha Brambley

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 14, 2012 - July 22, 2014

FINANCIAL TELESIS INC

BD
CRD#: 31012
NEW HOPE, PA
Past

November 30, 2012 - July 22, 2014

FINANCIAL TELESIS INC

RIA
CRD#: 31012
NEW HOPE, PA
Past

January 14, 2011 - June 16, 2011

FINANCIAL TELESIS INC

RIA
CRD#: 31012
NEWTOWN, PA
Past

January 14, 2011 - June 16, 2011

FINANCIAL TELESIS INC

BD
CRD#: 31012
NEWTOWN, PA
Past

November 30, 2010 - February 16, 2011

LPL FINANCIAL LLC

BD
CRD#: 6413
NEWTON, PA
Past

January 2, 2008 - October 9, 2012

NATIONAL PENN CAPITAL ADVISORS

RIA
CRD#: 112477
DOYLESTOWN, PA
Past

January 2, 2008 - November 30, 2010

NRP FINANCIAL, INC.

BD
CRD#: 103717
NEWTON, PA
Past

July 14, 2004 - December 31, 2007

SECURIAN FINANCIAL SERVICES, INC.

RIA
CRD#: 15296
NEWTOWN, PA
Past

June 25, 2004 - December 31, 2007

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
NEWTOWN, PA
Past

June 20, 2002 - June 8, 2004

FERRIS, BAKER WATTS, LLC

RIA
CRD#: 285
NEWTON, PA
Past

January 17, 2002 - June 8, 2004

FERRIS, BAKER WATTS, LLC

BD
CRD#: 285
BALTIMORE, MD
Past

June 14, 2001 - December 31, 2001

MID ATLANTIC INVESTOR SERVICES, INC.

BD
CRD#: 31002
WASHINGTON, DC
Past

September 17, 1996 - May 31, 2001

WALL STREET ACCESS

BD
CRD#: 10012
NEW YORK, NY
Past

February 7, 1994 - September 20, 1995

LINCOLN INVESTMENT

BD
CRD#: 519
FORT WASHINGTON, PA
Past

December 11, 1991 - December 21, 1993

WALL STREET ACCESS

BD
CRD#: 10012
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/3/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/10/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 12/9/1991
Investment Company Products/Variable Contracts Representative Examination

Current Firm

FT
FINANCIAL TELESIS INC
FINANCIAL TELESIS INC | JHW FINANCIAL SERVICES INC. | FINANCIAL TELESIS, INC. | FINANCIAL TELESIS INC.

CRD#: 31012 / SEC#: 801-63974, 8-45304

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
4340 Redwood Highway Suite B-75, San Rafael, CA 94903
Mailing Address
4340 Redwood Highway Suite B-75, San Rafael, CA 94903
Phone number
(415) 526-2759
Established
California since 11/01/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV 2A (3/31/2014)

Direct owners and executive officers

NamePositionCRD#
COLLINS, ELIZABETH SARAHPRESIDENT, CFO, FINOP, CCO4714831
WILLIAMS, JAMES HOUSTONPRINCIPAL1482414

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.

Company Information

FINANCIAL TELESIS INC

CRD#: 31012

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