Patricia M. Hajjar
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 May Hajjar, who also goes by Patricia M Hajjar, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1996. Patricia had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2022 - May 11, 2023
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
March 27, 2015 - May 11, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
March 24, 2015 - May 11, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
April 23, 2012 - March 16, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 23, 2012 - March 16, 2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 18, 2008 - February 28, 2012
VOYA INVESTMENT MANAGEMENT CO. LLC
March 7, 2007 - February 28, 2012
VOYA INVESTMENTS DISTRIBUTOR, LLC
April 20, 2006 - February 27, 2007
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.
October 29, 2004 - April 20, 2006
AMUNDI ASSET MANAGEMENT US, INC.
May 23, 2003 - February 27, 2007
AMUNDI DISTRIBUTOR US, INC.
November 3, 1999 - May 12, 2003
STATE STREET RESEARCH INVESTMENT SERVICES, INC.
November 4, 1997 - September 9, 1998
BERKSHIRE EQUITY SALES, INC.
October 2, 1996 - March 17, 1997
AMFIN INVESTMENT SERVICES, 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
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
CRD#: 26506 / SEC#: , 8-42582
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| CARR, GREGORY GERARD | DIRECTOR, CHIEF EXECUTIVE OFFICER, PRESIDENT | 2210835 |
| FLANSBURG, BRETT ALLEN | VICE PRESIDENT, AWM COMPLIANCE AND CHIEF COMPLIANCE OFFICER | 3179474 |
| GERDES, JOSEPH FRANCIS | DIRECTOR, CHIEF OPERATIONS OFFICER, PRINCIPAL OPERATIONS OFFICER | 2391989 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| SENNE, ANN MARIE | DIRECTOR | 2515669 |
| SWEENEY, JOSEPH EDWARD | DIRECTOR | 4668713 |
Disclosures
| Regulatory Event | 10 |
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.
