PL
Patrick Lulley
VAN ECK SECURITIES
New York, NY 10017-4033
Some features on this profile are disabled
CRD#: 2197762
PL
Professional summary
Patrick Lulley, who also goes by Patrick Ryan Lulley, is a registered financial professional currently at VAN ECK SECURITIES CORPORATION located in New York, New York.
Patrick is registered as a RR (Registered Representative) and started their career in finance in 2005. Patrick has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Patrick Ryan Lulley
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.
CRS (Client Relationship Summary) - BD
Click below to view Patrick Lulley's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 5, 2011 - Present
VAN ECK SECURITIES CORPORATION
Office #1: 666 Third Avenue 9th Floor, New York, NY 10017-4033BD
CRD#: 2269
New York, NY
Past
May 18, 2009 - October 19, 2009
EDWARD JONES
BD
CRD#: 250
BABYLON VILLAGE, NY
Past
April 11, 2006 - February 17, 2009
INVESCO CAPITAL MARKETS, INC.
BD
CRD#: 6939
HOUSTON, TX
Past
January 6, 2005 - November 21, 2005
TEACHERS PERSONAL INVESTORS SERVICES, INC.
BD
CRD#: 36130
NEW YORK, NY
Past
January 6, 2005 - March 23, 2006
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(9/10/2012)
RR
Alaska(9/10/2012)
RR
Arizona(9/10/2012)
RR
Arkansas(9/10/2012)
RR
California(9/10/2012)
RR
Colorado(9/10/2012)
RR
Connecticut(9/10/2012)
RR
Delaware(9/10/2012)
RR
District of Columbia(9/10/2012)
RR
Florida(9/10/2012)
RR
Georgia(9/10/2012)
RR
Hawaii(9/10/2012)
RR
Idaho(9/10/2012)
RR
Illinois(9/10/2012)
RR
Indiana(9/10/2012)
RR
Iowa(9/10/2012)
RR
Kansas(9/10/2012)
RR
Kentucky(9/10/2012)
RR
Louisiana(9/10/2012)
RR
Maine(9/10/2012)
RR
Maryland(9/10/2012)
RR
Massachusetts(9/10/2012)
RR
Michigan(9/10/2012)
RR
Minnesota(9/10/2012)
RR
Mississippi(9/10/2012)
RR
Missouri(9/10/2012)
RR
Montana(9/10/2012)
RR
Nebraska(9/10/2012)
RR
Nevada(9/10/2012)
RR
New Hampshire(9/10/2012)
RR
New Jersey(9/10/2012)
RR
New Mexico(9/10/2012)
RR
New York(8/5/2011)
RR
North Carolina(9/11/2012)
RR
North Dakota(9/10/2012)
RR
Ohio(9/11/2012)
RR
Oklahoma(9/10/2012)
RR
Oregon(9/10/2012)
RR
Pennsylvania(9/10/2012)
RR
Puerto Rico(9/10/2012)
RR
Rhode Island(9/10/2012)
RR
South Carolina(9/10/2012)
RR
South Dakota(9/10/2012)
RR
Tennessee(9/10/2012)
RR
Texas(9/10/2012)
RR
Utah(9/10/2012)
RR
Vermont(9/10/2012)
RR
Virginia(9/10/2012)
RR
Washington(9/10/2012)
RR
West Virginia(9/10/2012)
RR
Wisconsin(9/10/2012)
RR
Wyoming(9/10/2012)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VE
VAN ECK SECURITIES CORPORATION
I. I. I. SECURITIES CORPORATION | VE | VANECK | VAN ECK SECURITIES CORPORATION
CRD#: 2269 / SEC#: , 8-4618
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
666 Third Avenue 9th Floor, New York, NY 10017-4033
Mailing Address
666 Third Avenue 9th Floor, New York, NY 10017-4033
Phone number
(212) 293-2000
Established
Delaware since 08/01/1955
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VAN ECK ASSOCIATES CORPORATION | 100% OWNER & PARENT | |
| GOZZILLO, FRANCESCO MICHAEL | CHIEF COMPLIANCE OFFICER | 2099916 |
| RAPPAPORT, LEE ROBERT | VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, OPERATIONS PRINCIPAL (FINOP) AND DIRECTOR | 4682842 |
| SIMON, JONATHAN RICH | SENIOR VICE PRESIDENT, GENERAL COUNSEL, SECRETARY AND DIRECTOR | 5313394 |
| VANECK, JAN FREDERICK | PRESIDENT, CHIEF EXECUTIVE OFFICER AND DIRECTOR | 1695680 |
Disclosures
| Regulatory Event | 2 |
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.
