Patti L. Williams-gorman
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.
Patti Lynne Williams-gorman, who also goes by Patti Lynne Williamsgorman, was a registered financial professional .
Patti is a previously registered financial professional and started their career in finance in 1997. Patti had worked at 7 firms and has passed the Series 63, Series 7TO, Series 16, SIE, Series 7, Series 14 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
January 29, 2019 - October 4, 2021
ABG SUNDAL COLLIER INC.
April 16, 2010 - January 3, 2019
ABG SUNDAL COLLIER INC.
July 7, 2009 - April 16, 2010
OPPENHEIMER & CO. INC.
June 2, 2009 - June 29, 2009
COMMERZ MARKETS LLC
December 18, 2003 - May 4, 2009
COMMERZ MARKETS LLC
July 14, 2003 - November 10, 2003
NEUBERGER BERMAN BD LLC
April 1, 2003 - July 31, 2003
J.P. MORGAN SECURITIES LLC
July 1, 1998 - April 30, 2001
ABN AMRO SECURITIES LLC
August 7, 1997 - July 1, 1998
ING BARING (U.S.) 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
Series 7TO
Date: 3/6/2024
General Securities Representative ExaminationCurrent Firm
ABG SUNDAL COLLIER INC.
CRD#: 30605 / SEC#: , 8-44768
Contact information
FINRA licenses (6 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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