Patricia A. Lium
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 Lium, who also goes by Patricia Ann Tuchscherer, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1996. Patricia had worked at 5 firms and has passed the Series 65, Series 63 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
July 13, 2011 - December 31, 2014
FORTUNE WEALTH MANAGEMENT, LLC
February 15, 2007 - November 1, 2012
SILVER OAK SECURITIES, INCORPORATED
June 29, 2006 - February 13, 2007
UNITED SECURITIES ALLIANCE, INC.
October 3, 2000 - August 26, 2011
FORTUNE FINANCIAL SERVICES, LLC
May 23, 1996 - July 13, 2006
WALNUT STREET SECURITIES, INC.
Primary Firm SEC Registration
FORTUNE WEALTH MANAGEMENT, LLC
CRD#: 157832 / SEC#: 801-72503
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
FORTUNE WEALTH MANAGEMENT, LLC
CRD#: 157832 / SEC#: 801-72503
Contact information
SEC notice filing (4 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 206 |
| AUM (Assets Under Management) | $ 343,522,741 |
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.
