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LH

Linda M. Houllahan

Some features on this profile are disabled
CRD#: 2362166
LH

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.

Linda Marie Houllahan was a registered financial professional .

Linda is a previously registered financial professional and started their career in finance in 1994. Linda had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 30 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 8, 2015 - June 16, 2017

PATRICK CAPITAL MARKETS, LLC

BD
CRD#: 16518
Arlington, MA
Past

June 1, 2012 - October 10, 2013

PATRICK CAPITAL MARKETS, LLC

BD
CRD#: 16518
NEW YORK, NY
Past

July 11, 2011 - June 1, 2012

N4 FINANCIAL, INC.

BD
CRD#: 134581
REDWOOD CITY, CA
Past

July 3, 2008 - August 24, 2010

1ST WORLDWIDE FINANCIAL PARTNERS, LLC

BD
CRD#: 132038
NEW YORK, NY
Past

January 16, 2008 - June 30, 2008

GROUPARGENT SECURITIES, LLC

BD
CRD#: 136159
NEW YORK, NY
Past

March 7, 2006 - September 5, 2007

BNY INVESTMENT CENTER INC.

BD
CRD#: 47683
NEW YORK, NY
Past

April 1, 2002 - March 6, 2006

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

January 11, 1999 - April 25, 2002

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ
Past

April 20, 1995 - January 20, 1999

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

October 25, 1994 - April 11, 1995

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/9/1994
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/28/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/16/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 8/26/2011
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/24/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 30
Date: 11/11/2011
NFA Branch Manager Examination

Current Firm

PC
PATRICK CAPITAL MARKETS, LLC
PATRICK CAPITAL MARKETS | PATRICK FINANCIAL CORPORATION | PATRICK CAPITAL MARKETS, LLC

CRD#: 16518 / SEC#: , 8-34099

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
11152 South Towne Square, St Louis, MO 63123
Mailing Address
11152 South Towne Square, St. Louis, MO 63123
Phone number
(314) 528-3000
Established
Missouri since 06/16/2008
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SAXONY FINANCIAL HOLDINGS, LLC.SOLE OWNER/ MEMBER
CLARK, BRIAN LESLEYPRESIDENT, CEO, AND CFO4802438
KLUMP, RYAN CHRISTOPHERSENIOR VICE PRSIDENT4762698
MATARAZZI, NATHAN DOMENICOFINOP, POO AND PFO4827090
MITCHELL, JARAD BYRAMCOO4811305
WEBSTER, TERRANCE MICHAELCHIEF COMPLIANCE OFFICER6826889

Disclosures

Regulatory Event1

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.

Company Information

PATRICK CAPITAL MARKETS, LLC

CRD#: 16518

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