Richard V. Patrick
Professional summary
Richard Vincent Patrick was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial advisor and started their career in finance in 1992. Prior to being barred, Richard had worked at 10 firms, which includes VOYA FINANCIAL ADVISORS INC., CITIGROUP GLOBAL MARKETS INC., TD WEALTH MANAGEMENT SERVICES INC., WELLS FARGO CLEARING SERVICES LLC, FIRST UNION BROKERAGE SERVICES INC., IFMG SECURITIES INC., MARKETING ONE SECURITIES INC., INDEPENDENT FINANCIAL SECURITIES INC., THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2007 - November 16, 2007
VOYA FINANCIAL ADVISORS, INC.
March 19, 2007 - November 16, 2007
VOYA FINANCIAL ADVISORS, INC.
February 10, 2006 - March 19, 2007
CITIGROUP GLOBAL MARKETS INC.
February 10, 2006 - March 19, 2007
CITIGROUP GLOBAL MARKETS INC.
February 26, 2003 - March 7, 2006
TD WEALTH MANAGEMENT SERVICES INC.
February 25, 2003 - March 7, 2006
TD WEALTH MANAGEMENT SERVICES INC.
October 1, 2000 - March 10, 2003
WELLS FARGO CLEARING SERVICES, LLC
February 3, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
October 1, 1999 - January 20, 2000
IFMG SECURITIES, INC.
March 29, 1996 - October 1, 1999
MARKETING ONE SECURITIES, INC.
May 21, 1993 - November 8, 1995
INDEPENDENT FINANCIAL SECURITIES, INC.
February 12, 1992 - April 30, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 12, 1992 - April 30, 1993
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
Red Flags
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