Patrick T. Golden
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 Thomas Golden, who also goes by Pat Golden, was a registered financial advisor .
Patrick is a previously registered financial advisor and started their career in finance in 1995. Patrick had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2015 - October 21, 2015
QUESTAR CAPITAL CORPORATION
November 14, 2008 - November 10, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 14, 2008 - November 10, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 9, 2003 - December 3, 2008
CITIGROUP GLOBAL MARKETS INC.
May 9, 2003 - December 3, 2008
CITIGROUP GLOBAL MARKETS INC.
December 31, 2001 - June 3, 2003
UBS FINANCIAL SERVICES INC.
August 14, 2000 - June 3, 2003
UBS FINANCIAL SERVICES INC.
September 11, 1997 - August 14, 2000
J.C. BRADFORD & CO.
May 2, 1995 - October 6, 1997
FIRST UNION CAPITAL MARKETS CORP.
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
QUESTAR CAPITAL CORPORATION
CRD#: 43100 / SEC#: , 8-50174
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| YORKTOWN FINANCIAL COMPANIES, INC. - INDIANA | SHAREHOLDER | |
| BRAUN, BARBARA J | CHIEF TECHNOLOGY AND EXECUTIVE PROJECTS OFFICER | 6839583 |
| BROOKS, MELISSA CAWOOD | CHIEF FINANCIAL OFFICER | 4219393 |
| DU MOND, SHARON LEA | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 2134316 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER, SECRETARY | 4241291 |
| SAND PETERSON, JESSICA KAY | CHIEF OPERATING AND SUPERVISION OFFICER | 4274882 |
| STARKMAN, KRISTINE ALANE | CHIEF COMPLIANCE OFFICER | 2409241 |
| THOMES, ERIC JON | CHAIRMAN | 4645308 |
| WHITE, WALTER REX | DIRECTOR |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
