Patrick E. Connors
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.
Patrick Edward Connors, who also goes by Patrick E Connors, Patrick Connors, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1993. Patrick had worked at 6 firms and has passed the Series 63, Series 79TO, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2017 - May 3, 2023
BTIG, LLC
October 13, 2016 - May 31, 2017
RISE FINANCIAL SERVICES, LLC
January 3, 2003 - September 6, 2016
SMITH CAPITAL MARKETS, LLC.
June 1, 2001 - January 27, 2003
PCS SECURITIES, INC.
August 9, 1994 - June 19, 2001
ABN AMRO SECURITIES LLC
November 24, 1993 - June 3, 1994
HERZOG, HEINE, GEDULD, 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 11/26/2002
Limited Representative-Equity Trader ExamCurrent Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
Red Flags
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