Patricia A. Harkin
Professional summary
Patricia Ann Harkin, who also goes by Patricia A Carroll, Patricia C Russo, is a registered financial professional currently at KESTRA INVESTMENT SERVICES, LLC located in Teaneck, New Jersey.
Patricia is registered as a RR (Registered Representative) and started their career in finance in 1996. Patricia has worked at 7 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Patricia Ann Harkin's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 31, 2023 - Present
KESTRA INVESTMENT SERVICES, LLC
September 10, 2010 - October 31, 2023
HORNOR, TOWNSEND & KENT, LLC
September 10, 2007 - August 27, 2010
EQUITY SERVICES, INC.
May 12, 2004 - August 3, 2007
NYLIFE SECURITIES LLC
March 5, 2003 - April 16, 2004
MML INVESTORS SERVICES, LLC
October 1, 2000 - June 4, 2002
WELLS FARGO CLEARING SERVICES, LLC
November 13, 1996 - October 1, 2000
FIRST UNION BROKERAGE 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
(10/31/2023)
(10/31/2023)
Exams
FINRA
Current Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
Red Flags
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