Patrick H. Mckernan
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 Henry Mckernan, who also goes by Pat Mckernan, Patrick H Mckernan, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1992. Patrick had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2016 - December 5, 2017
LASALLE ST SECURITIES, L.L.C.
January 6, 2000 - September 20, 2016
CAPITAL SECURITIES INVESTMENT CORPORATION
March 18, 1999 - September 20, 2016
CAPITAL SECURITIES INVESTMENT CORPORATION
June 29, 1995 - March 2, 1999
WS GRIFFITH SECURITIES, INC.
April 4, 1994 - June 27, 1995
CAPITAL SECURITIES INVESTMENT CORPORATION
June 16, 1993 - April 5, 1994
ADVANCE CAPITAL SERVICES, INC.
July 2, 1992 - May 3, 1993
VSR FINANCIAL SERVICES, INC.
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
LASALLE ST SECURITIES, L.L.C.
CRD#: 7191 / SEC#: , 8-18860
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 15 |
| Arbitration | 4 |
| Bond | 1 |
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.
