Patrick D. Armstrong
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 Donovan Armstrong was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1995. Patrick had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, Series 99TO, Series 57TO, SIE, Series 87, Series 55, Series 25, Series 7, Series 24, Series 14 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2021 - July 26, 2021
CARTA CAPITAL MARKETS, LLC
June 28, 2018 - October 14, 2022
CARTA SECURITIES, LLC
November 14, 2008 - March 2, 2018
PRIME EXECUTIONS, INC.
January 3, 2007 - November 10, 2008
BATTENKILL CAPITAL, INC.
September 18, 2003 - January 3, 2007
MCKEON BROTHERS, LLC
July 27, 2000 - September 5, 2003
PRINCETON SECURITIES GROUP, LLC
May 16, 1997 - March 20, 1998
APEX CLEARING CORPORATION
June 7, 1996 - May 21, 1997
MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.
January 30, 1995 - May 6, 1996
GLICKENHAUS & CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 5/19/2007
Limited Representative-Equity Trader ExamSeries 25
Date: 2/8/2000
NYSE Trading Assistant ExaminationSeries 12
Date: 8/7/1998
NYSE Branch Manager ExaminationCurrent Firm
CARTA CAPITAL MARKETS, LLC
CRD#: 304751 / SEC#: , 8-70396
Contact information
Documents
Red Flags
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