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Patrick A. Sanders

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CRD#: 2784897
PS

Professional summary

Patrick Alan Sanders was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Patrick is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Patrick had worked at 2 firms, which includes CAP PRO BROKERAGE SERVICES INC., WADDELL & REED.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 15, 2001 - October 25, 2001

CAP PRO BROKERAGE SERVICES, INC.

BD
CRD#: 103953
COLUMBUS, OH
Past

September 2, 1998 - October 10, 2000

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS
Past

December 19, 1996 - December 31, 1997

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 10/13/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/7/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 12/7/1996
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CP
CAP PRO BROKERAGE SERVICES, INC.
CAP PRO BROKERAGE SERVICES, INC.

CRD#: 103953 / SEC#: , 8-52423

BD
Terminated by SEC on 02/18/2006
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 09/30/1999
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CAPITAL PROFESSIONAL ADVISORS, INC.SOLE SHAREHOLDER
ALLEGRETTI, CHRISTOPHER MARKDIRECTOR
GOLATO, PETER ANTHONYDIRECTOR1150977
KARAS, RICHARD ANDREWDIRECTOR
REIHL, LANCE ALANPRESIDENT828685
SHANE, BARBARA JEANFINOP/CCO863356
THRESHER, MARK R.DIRECTOR

Disclosures

Arbitration1

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

CAP PRO BROKERAGE SERVICES, INC.

CRD#: 103953

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