Pat B. Floyd
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.
Pat Burnell Floyd was a registered financial professional .
Pat is a previously registered financial professional and started their career in finance in 1994. Pat had worked at 6 firms and has passed the Series 65, 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
September 15, 2009 - July 5, 2016
THE LEADERS GROUP, INC.
February 28, 2006 - May 1, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
February 28, 2006 - May 1, 2009
UVEST FINANCIAL SERVICES GROUP, INC.
April 12, 2005 - February 28, 2006
TRUSTMARK SECURITIES, INC.
June 15, 1999 - February 28, 2006
TRUSTMARK SECURITIES, INC.
May 3, 1999 - May 17, 1999
PARK AVENUE SECURITIES LLC
June 9, 1995 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
August 31, 1994 - June 30, 1995
PRUCO SECURITIES, 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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
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.
