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PP

Patrick M. Patricio

WALLACHBETH CAPITAL LLC
West Caldwell, NJ 07006
Some features on this profile are disabled
CRD#: 2673746
PP

Professional summary

Patrick Mark Patricio, who also goes by Mark Patricio, is a registered financial professional currently at WALLACHBETH CAPITAL LLC located in West Caldwell, New Jersey.

Patrick is registered as a RR (Registered Representative) and started their career in finance in 1995. Patrick has worked at 8 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 24 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mark Patricio

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Patrick Mark Patricio's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 24, 2015 - Present

WALLACHBETH CAPITAL LLC

Office #1: 1011 Bloomfield Ave 2a, West Caldwell, NJ, 07006
BD
CRD#: 147853
West Caldwell, NJ
Past

April 22, 2015 - August 7, 2015

GILFORD FINANCIAL CORP.

RIA
CRD#: 126593
NEW YORK, NY
Past

July 28, 2014 - August 7, 2015

GILFORD SECURITIES INCORPORATED

BD
CRD#: 8076
NEW YORK, NY
Past

September 29, 2010 - July 29, 2014

MILLER TABAK + CO., LLC

BD
CRD#: 47293
NEW YORK, NY
Past

June 11, 2009 - February 8, 2010

FTN EQUITY CAPITAL MARKETS CORP.

BD
CRD#: 119625
NEW YORK, NY
Past

September 5, 2006 - October 21, 2009

NATIXIS SECURITIES NORTH AMERICA INC.

BD
CRD#: 28722
NEW YORK, NY
Past

March 18, 1999 - June 6, 2001

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY
Past

December 21, 1995 - July 11, 1997

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(1/30/2017)
RR
Connecticut
(1/30/2017)
RR
Florida
(2/6/2019)
RR
Illinois
(1/30/2017)
RR
Maryland
(1/30/2017)
RR
Nebraska
(1/30/2017)
RR
New Jersey
(1/30/2017)
RR
New York
(7/24/2015)
RR
Ohio
(1/16/2018)
RR
Texas
(1/16/2018)
RR
Virginia
(2/28/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/11/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/7/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 9/27/2006
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 3
Date: 10/19/1999
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/4/2014
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/1/2009
Registered Options Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

WC
WALLACHBETH CAPITAL LLC
WALLACHBETH CAPITAL LLC

CRD#: 147853 / SEC#: , 8-67936

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
1001 Yamato Rd. Suite 404, Boca Raton, FL 33431
Mailing Address
1001 Yamato Rd. Suite 404, Boca Raton, FL 33431
Phone number
(646) 237-8585
Established
New York since 05/05/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (44 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WALLACHBETH HOLDINGS LLC95% OWNER
SAGO MANAGEMENT, LLC5% OWNER
BETH, DAVID JAYCOO/PRESIDENT/ MANAGING MEMBER2470494
OH, SEUNG CHEOLCFO, FNOP4632040
SCHWEITZER, ERIC BRUCECHIEF COMPLIANCE OFFICER1036891
WALLACH, MICHAEL CONRADCHIEF EXECUTIVE OFFICER/MANAGING MEMBER2376092

Disclosures

Regulatory Event2

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.

Company Information

WALLACHBETH CAPITAL LLC

CRD#: 147853West Caldwell, NJ 07006

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