Barbara S. Pate
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.
Barbara Simpson Pate, who also goes by Barbara Ann Pate, Barbara Ann Simpson Pate, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1995. Barbara had worked at 8 firms and has passed the 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
October 10, 2011 - March 1, 2012
INVEST FINANCIAL CORPORATION
August 10, 2009 - December 31, 2009
SOUTHERN FARM BUREAU FUND DISTRIBUTOR, INC.
January 24, 2007 - July 2, 2009
TRUIST INVESTMENT SERVICES, INC.
January 24, 2007 - July 2, 2009
TRUIST INVESTMENT SERVICES, INC.
April 19, 2002 - January 16, 2007
BB&T INVESTMENT SERVICES, INC.
October 3, 2001 - January 16, 2007
BB&T INVESTMENT SERVICES, INC.
March 8, 2001 - October 12, 2001
HORACE MANN INVESTORS, INC.
February 14, 2000 - February 28, 2001
WACHOVIA SECURITIES, INC.
February 18, 1998 - February 14, 2000
WACHOVIA BROKERAGE SERVICE
November 22, 1995 - February 18, 1998
COMPULIFE INVESTOR 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
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 2 |
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.
