Patricia E. Fisher
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 Eileen Fisher was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1994. Patricia had worked at 6 firms and has passed the Series 63, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2005 - August 4, 2014
PORTSMOUTH FINANCIAL SERVICES
August 28, 2003 - November 4, 2004
KW SECURITIES CORPORATION
January 20, 1998 - August 7, 2000
PORTSMOUTH FINANCIAL SERVICES
December 20, 1995 - January 26, 1998
TRANSGLOBAL INVESTMENTS INC.
June 20, 1995 - December 15, 1995
PAULSON INVESTMENT COMPANY LLC
April 29, 1994 - April 10, 1996
IDS LIFE INSURANCE COMPANY
April 29, 1994 - April 10, 1996
AMERIPRISE FINANCIAL 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
PORTSMOUTH FINANCIAL SERVICES
CRD#: 13980 / SEC#: , 8-30097
Contact information
FINRA licenses (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 31 |
| AUM (Assets Under Management) | $ 3,671,748 |
Disclosures
| Regulatory Event | 4 |
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.
