Patricia A. Simone
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 Anne Simone, who also goes by Patricia Anne Conner, Patricia Anne Connerferguson, Patricia Anne Ferguson, 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 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
June 23, 2014 - December 31, 2023
CADARET, GRANT & CO., INC.
January 11, 2013 - August 28, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
October 25, 2005 - January 15, 2013
CADARET, GRANT & CO., INC.
February 21, 1996 - October 19, 2005
CADARET, GRANT & CO., INC.
January 1, 1996 - March 8, 1996
FIRST UNION BROKERAGE SERVICES, INC.
September 6, 1995 - January 1, 1996
MARKETING ONE SECURITIES, INC.
July 16, 1992 - September 19, 1995
PRIME CAPITAL 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
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
