Patrice M. Lala
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.
Patrice Mary Lala, who also goes by Patrice Mary Paul, was a registered financial professional .
Patrice is a previously registered financial professional and started their career in finance in 1992. Patrice had worked at 5 firms and has passed the Series 63, Series 7 and Series 6 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 2012 - August 3, 2012
EQUUS FINANCIAL CONSULTING LLC
May 7, 2008 - March 10, 2010
RMIN SECURITIES, INC.
March 20, 2007 - January 17, 2008
RMIN SECURITIES, INC.
April 21, 2003 - June 8, 2005
CITICORP INVESTMENT SERVICES
April 18, 2001 - August 26, 2002
PFS INVESTMENTS INC.
August 27, 1992 - May 11, 1999
FIDELITY BROKERAGE SERVICES LLC
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
EQUUS FINANCIAL CONSULTING LLC
CRD#: 131449 / SEC#: , 8-66467
Contact information
FINRA licenses (50 States and Territories)
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.
