Patricia B. Hall
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 Brady Hall, who also goes by Tricia Hall, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1992. Patricia had worked at 5 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2011 - March 14, 2012
PLUS SECURITIES LLC
September 22, 2008 - May 29, 2009
BARCLAYS CAPITAL INC.
February 14, 1992 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
February 14, 1992 - October 23, 1995
LEHMAN GOVERNMENT SECURITIES INC.
February 14, 1992 - September 22, 2008
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Exams
Current Firm
PLUS SECURITIES LLC
CRD#: 138299 / SEC#: , 8-67157
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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