Patricia A. Allen
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 Ann Allen, who also goes by Patricia Ann Mcduffie, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1995. Patricia had worked at 4 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2015 - May 1, 2017
EMERALD BLUE ADVISORS
September 10, 2010 - July 30, 2014
AMERITAS INVESTMENT COMPANY, LLC
January 9, 2008 - September 2, 2010
AMERITAS INVESTMENT COMPANY, LLC
August 12, 2004 - July 30, 2014
AMERITAS INVESTMENT COMPANY, LLC
April 12, 2002 - June 11, 2004
WORLD GROUP SECURITIES, INC.
July 25, 2001 - April 12, 2002
WMA SECURITIES, INC.
August 29, 1995 - May 9, 2001
WMA SECURITIES, 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
Exams
Current Firm
EMERALD BLUE ADVISORS
CRD#: 166113 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 356 |
| AUM (Assets Under Management) | $ 69,403,493 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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