Patricia K. Germaine
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 Kay Germaine, who also goes by Patricia K Germaine, Patricia Germaine, Patty Germaine, Patricia Kay Larson, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1993. Patricia had worked at 7 firms and has passed the Series 63, SIE, Series 7 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
April 24, 2024 - August 1, 2024
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
April 24, 2024 - September 18, 2024
LPL FINANCIAL LLC
February 16, 2023 - April 26, 2024
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 16, 2023 - April 26, 2024
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 21, 2014 - April 26, 2024
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - April 26, 2024
WELLS FARGO CLEARING SERVICES, LLC
December 13, 2000 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
July 7, 1998 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
August 13, 1993 - September 13, 1994
CETERA INVESTMENT SERVICES 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
WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC
CRD#: 130139 / SEC#: , 8-66305
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEALTH ENHANCEMENT GROUP, LLC | OWNER | |
| CAHN, JAMES LOREN | VICE PRESIDENT | 6052512 |
| CAIN, STEPHANIE M | HEAD OF SUPERVISION | 4081085 |
| CLARK, LISA LYNN | OPERATIONS OFFICER | 2271616 |
| DEKKO, JEFFREY THOMAS HAROLD | VICE PRESIDENT | 4648018 |
| DIECKHAUS, JOSEPH ALAN | CHIEF COMPLIANCE OFFICER | 5374613 |
| FURCHT, ELIZABETH ANN | SECRETARY | 5778785 |
| WINDORSKI, KELLY JOSEPH | CHIEF MANAGER AND CHIEF EXECUTIVE OFFICER, CHIEF FINANCIAL OFFICER, TREASURER, AND FINANCIAL OPERATIONS PRINCIPAL | 3211118 |
Red Flags
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