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PP

Patrick F. Preece

TAG CAPITAL PARTNERS
Miami, FL 33131
Some features on this profile are disabled
CRD#: 2750126
PP

Professional summary

Patrick Francis Preece is a registered financial professional currently at TAG CAPITAL PARTNERS located in Miami, Florida.

Patrick is registered as a RR (Registered Representative) and started their career in finance in 1996. Patrick has worked at 6 firms and has passed the Series 63, Series 79TO, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Francis Preece's 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

February 13, 2025 - Present

TAG CAPITAL PARTNERS

Office #1: 1395 Brickell Avenue Suite 800, Miami, FL 33131
BD
CRD#: 318850
Miami, FL
Past

May 3, 2013 - June 13, 2014

VCS VENTURE SECURITIES

BD
CRD#: 127921
NEW YORK, NY
Past

March 28, 2001 - May 10, 2011

DZ FINANCIAL MARKETS LLC

BD
CRD#: 47098
NEW YORK, NY
Past

June 28, 1999 - November 3, 2000

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH
Past

April 1, 1999 - May 19, 1999

BANC ONE CAPITAL MARKETS, INC.

BD
CRD#: 23065
CHICAGO, IL
Past

June 20, 1996 - April 1, 1999

BANC ONE CAPITAL MARKETS, INC.

BD
CRD#: 27267
COLUMBUS, OH

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
Florida
(2/13/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 8/27/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 3/10/2025
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/13/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/21/2024
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/19/1996
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TC
TAG CAPITAL PARTNERS
TAG CAPITAL PARTNERS | TAG CAPITAL PARTNERS LLC

CRD#: 318850 / SEC#: , 8-70927

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

Main Address
275 Madison Ave 30th Floor, New York, NY 10016
Mailing Address
275 Madison Ave 30th Floor, New York, NY 10016
Phone number
(212) 993-7400
Established
New York since 01/06/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
TAG FINANCIAL INSTITUTIONS GROUP, LLCOWNER
BROWN, EVANCHIEF COMPLIANCE OFFICER6563464
NIGRO, STEVEN HAROLDCHIEF EXECUTIVE OFFICER / FINOP1384876

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

TAG CAPITAL PARTNERS

CRD#: 318850Miami, FL 33131

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