Patricia L. Richard
Professional summary
Patricia Louise Richard, who also goes by Patricia Louise Arnone, Patricia Arnone, Tricia Richard, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.
Patricia is registered as a RR (Registered Representative) and started their career in finance in 1994. Patricia has worked at 7 firms and has passed the Series 63, Series 6TO, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Patricia Louise Richard's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 12, 2020 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901January 12, 2012 - December 5, 2012
KESTRA INVESTMENT SERVICES, LLC
September 4, 2009 - December 1, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 14, 2004 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
January 26, 1998 - December 5, 2003
INTERLINK SECURITIES CORP.
October 24, 1994 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
October 24, 1994 - January 22, 1998
SIGNATOR INVESTORS, 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
(4/4/2024)
(4/2/2024)
(4/1/2024)
(4/2/2024)
(1/2/2025)
(6/30/2025)
(4/2/2024)
(4/1/2024)
(4/2/2024)
(4/1/2024)
(4/8/2024)
Exams
Series 6TO
Date: 3/14/2020
Investment Company Products/Variable Contracts Representative ExaminationFINRA
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
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