Patricia T. Chafin
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 Tucker Chafin, who also goes by Pat Chafin, Patrica Tucker Chafin, Patricia T Chafin, Pat Mckenna, Patricia Tucker Mckenna, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1992. Patricia had worked at 8 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
September 28, 2018 - October 20, 2021
THE LEADERS GROUP, INC.
May 16, 2012 - August 24, 2018
M HOLDINGS SECURITIES, INC.
September 9, 2005 - May 1, 2012
SECURITIES AMERICA, INC.
January 3, 2002 - September 1, 2005
WESTPORT FINANCIAL SERVICES, L.L.C.
July 2, 2001 - December 12, 2001
CLARK SECURITIES, INC.
April 1, 1999 - July 2, 2001
CLARK-BARDES SECURITIES, INC.
October 16, 1997 - October 1, 1998
NEW ENGLAND SECURITIES
November 30, 1992 - September 29, 1997
JOHN HANCOCK DISTRIBUTORS 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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
