Patricia A. O'sullivan
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 Ann O'sullivan, who also goes by Patricia Ann Osullivan, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1992. Patricia had worked at 10 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 6 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
February 27, 2008 - March 22, 2013
SIGNATOR INVESTORS, INC.
February 26, 2008 - March 22, 2013
SIGNATOR INVESTORS, INC.
January 3, 2008 - January 11, 2008
CHITTENDEN SECURITIES, LLC.
May 23, 2006 - December 17, 2007
CHITTENDEN SECURITIES, LLC.
May 18, 2006 - December 17, 2007
CHITTENDEN SECURITIES, LLC.
April 14, 2004 - April 9, 2007
BROWN & BROWN
December 16, 2003 - January 18, 2005
VALMARK SECURITIES, INC.
August 10, 1998 - October 28, 2002
VERAVEST INVESTMENTS, INC.
March 4, 1997 - September 19, 1997
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
October 4, 1996 - March 5, 1997
HIMCO DISTRIBUTION SERVICES COMPANY
September 1, 1995 - September 18, 1996
LPL FINANCIAL LLC
September 16, 1994 - October 2, 1995
WALL STREET ACCESS
December 7, 1992 - September 15, 1994
FIS SECURITIES, 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
SIGNATOR INVESTORS, INC.
CRD#: 468 / SEC#: 801-56298, 8-13995
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JOHN HANCOCK FINANCIAL NETWORK, INC. | PARENT COMPANY | |
| ARMSTRONG, ABIGAIL MARIE | VICE PRESIDENT, COUNSEL AND ASST SECRETARY | 1239945 |
| CAPPUCCIO, PAUL ANTHONY | ASSISTANT VICE PRESIDENT | 2151678 |
| COLLINS, BRIAN DOUGLAS | VICE PRESIDENT | 6445623 |
| DORVAL, STEVEN FRANCIS | DIRECTOR | 4163630 |
| HORACK, THOMAS JOSEPH | VP & DIRECTOR | 861315 |
| KARMAN, MITCHELL ANDREW | DIRECTOR | 2837307 |
| KWONG-LOI, YIU | ASSISTANT SECRETARY | 6639555 |
| LANNIGAN, TRACY KANE | SECRETARY | 6944688 |
| MARYANOPOLIS, CHRISTOPHER | PRESIDENT & DIRECTOR | 3041077 |
| REBMAN, JILL DENISE | DIRECTOR | 6520386 |
| RIGATTI, MATTHEW FORREST | DIRECTOR | 2461646 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER & TREASURER | 4364402 |
| SCORPIO, CARON MARIE | ASSISTANT VICE PRESIDENT | 4275948 |
| SPADAFORA, CRAIG ALAN | DIRECTOR | 3184320 |
| TERRY, JOSEPH DEAN | CHIEF COMPLIANCE OFFICER & DIRECTOR | 4612910 |
| TETA, ANTHONY MAURICE | DIRECTOR | 4617856 |
| TUCKER, BRIAN THOMAS | ASSISTANT SECRETARY | 2285090 |
| VACON, MELISSA M | VICE PRESIDENT & DIRECTOR | 6189199 |
| WALTERS, GINA GOLDYCH | DIRECTOR | 5095838 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 12 |
| 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.
