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Patrick B. Morin

TRANSACT CAPITAL SECURITIES
Glen Allen, VA 23060
Some features on this profile are disabled
CRD#: 2210592
PM

Professional summary

Patrick Burnham Morin is a registered financial professional currently at TRANSACT CAPITAL SECURITIES, LLC located in Glen Allen, Virginia.

Patrick is registered as a RR (Registered Representative) and started their career in finance in 1992. Patrick has worked at 3 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
TRANSACT CAPITAL PARTNERS, LLC - PARENT COMPANY OF TRANSACT CAPITAL SECURITIES, LLC - AND IS AN UNREGISTERED M&A ADVISORY FOR NON-SECURITY RELATED TRANSACTIONS. TRUE NORTH PARTNERS LLC - OWNER/OPERATOR - SINCE 2018 - A STRATEGY AND SALES ORIENTED CONSULTING COMPANY - NOT INVESTMENT RELATED - APPROXIMATELY 8 HOURS PER MONTH DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Patrick Burnham Morin's CRS (Customer Relationship Summary).
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®
None

Experience

Current

January 1, 2014 - Present

TRANSACT CAPITAL SECURITIES, LLC

Office #1: 4991 Lake Brook Dr. Suite 150, Glen Allen, VA 23060
BD
CRD#: 133822
Glen Allen, VA
Past

June 15, 2021 - June 23, 2022

TRANSACT CAPITAL SECURITIES, LLC

RIA
CRD#: 133822
GLEN ALLEN, VA
Past

January 6, 1993 - March 12, 1993

BILTMORE SECURITIES, INC.

BD
CRD#: 25023
Past

April 23, 1992 - January 7, 1993

STRATTON OAKMONT INC.

BD
CRD#: 18692

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
California
(3/16/2021)
RR
Colorado
(4/13/2023)
RR
Illinois
(10/21/2024)
RR
New York
(4/9/2023)
RR
Virginia
(1/1/2014)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/31/2020
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/29/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 12/14/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 8/21/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/30/2013
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/7/2023
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TC
TRANSACT CAPITAL SECURITIES, LLC
ALPHA OMEGA CAPITAL SECURITIES, LLC | TRANSACT CAPITAL SECURITIES, LLC

CRD#: 133822 / SEC#: , 8-66778

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

Main Address
4991 Lake Brook Dr. Suite 150, Glen Allen, VA 23060
Mailing Address
4991 Lake Brook Dr., Suite 150 Suite 150, Glen Allen, VA 23060
Phone number
(804) 612-7102
Established
Virginia since 08/19/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
15

FINRA licenses (11 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
TRANSACT CAPITAL PARTNERS LLCPARENT COMPANY
IVAN, JOHN MICHAELCHIEF COMPLIANCE OFFICER1292150
MORIN, PATRICK BURNHAMPRINCIPAL, POO2210592
RIP, OLGAFINOP, PFO5440553
0

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

TRANSACT CAPITAL SECURITIES, LLC

CRD#: 133822Glen Allen, VA 23060

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