Jon T. Patria
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.
Jon Timothy Patria was a registered financial professional .
Jon is a previously registered financial professional and started their career in finance in 1992. Jon had worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2012 - March 26, 2021
WOLFE RESEARCH SECURITIES
May 12, 2008 - August 17, 2012
MACQUARIE CAPITAL (USA) INC.
July 5, 2005 - May 30, 2006
GFI SECURITIES LLC
December 7, 2000 - June 27, 2005
SANFORD C. BERNSTEIN & CO., LLC
December 24, 1992 - December 7, 2000
SANFORD C. BERNSTEIN & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/12/2000
Limited Representative-Equity Trader ExamCurrent Firm
WOLFE RESEARCH SECURITIES
CRD#: 151850 / SEC#: , 8-68406
Contact information
FINRA licenses (48 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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