Patricia I. Kutschke
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 Irene Kutschke, who also goes by Patricia I Fineout, Patricia Irene Fineout, Patricia I Fudala, Patricia Irene Fudala, Patricia Fudala, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1993. Patricia had worked at 8 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 2013 - November 4, 2014
NEXT FINANCIAL GROUP, INC.
October 13, 1999 - December 19, 2003
VERAVEST INVESTMENTS, INC.
June 25, 1997 - May 17, 1999
MORGAN STANLEY DW INC.
September 3, 1996 - May 20, 1997
GLEACHER & COMPANY SECURITIES, INC.
September 25, 1995 - September 3, 1996
PRUDENTIAL EQUITY GROUP, LLC
July 13, 1994 - September 1, 1995
ARGUS SECURITIES, INC.
October 18, 1993 - July 12, 1994
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
May 11, 1993 - September 14, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
FINRA licenses (5 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
