Patricia A. Conti
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 Conti 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 SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2006 - February 6, 2014
TEACHERS PERSONAL INVESTORS SERVICES, INC.
December 13, 2005 - October 13, 2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
October 24, 2001 - April 30, 2003
DUKE CAPITAL PARTNERS SECURITIES, LLC
May 3, 2001 - August 21, 2001
WACHOVIA SECURITIES, INC.
October 1, 1999 - March 26, 2001
WELLS FARGO CLEARING SERVICES, LLC
February 2, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
June 3, 1996 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.
October 5, 1993 - April 19, 1996
SOUTHPORT PARTNERS L.P.
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
TEACHERS PERSONAL INVESTORS SERVICES, INC.
CRD#: 36130 / SEC#: , 8-47051
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TIAA-CREF ASSET MANAGEMENT LLC | SHAREHOLDER | |
| LEE, CHRISTY ROSS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER | 4926666 |
| LEE, CHRISTY ROSS | CHIEF FINANCIAL OFFICER | 4926666 |
| PIERRE-MERRITT, MARJORIE | CORPORATE SECRETARY | 5308970 |
| RAUSCHENBACH, KEITH HENRY | PRESIDENT, COO & DIRECTOR | 1719526 |
| SMITH, SHANITA SPIVEY | CHIEF COMPLIANCE OFFICER | 5174146 |
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.
