Patrick J. Vignone
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.
Patrick John Vignone was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1992. Patrick had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 2014 - January 23, 2024
CITY NATIONAL ROCHDALE
October 12, 2007 - March 29, 2018
SYMPHONIC SECURITIES LLC
September 13, 2007 - March 29, 2018
SYMPHONIC FINANCIAL ADVISORS LLC
September 13, 2007 - January 23, 2024
CNR SECURITIES, LLC
August 9, 1994 - November 10, 1995
RICKEL & ASSOCIATES, INC.
May 5, 1994 - August 12, 1994
GIBRALTAR SECURITIES CO.
July 30, 1992 - May 3, 1994
HYM FINANCIAL, INC.
Primary Firm SEC Registration
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
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
CITY NATIONAL ROCHDALE
CRD#: 117198 / SEC#: 801-27265
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,300 |
| AUM (Assets Under Management) | $ 68,177,828,012 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/27/2023 |
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.
