Patrick M. Green
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.
Patrick Michael Green was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1996. Patrick had worked at 3 firms and has passed the Series 63, Series 6 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
December 3, 2002 - December 9, 2003
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
November 6, 1996 - November 26, 1996
IDS LIFE INSURANCE COMPANY
November 6, 1996 - November 26, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
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
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
CRD#: 40596 / SEC#: , 8-49085
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRUDENTIAL RETIREMENT FINANCIAL SERVICES HOLDING LLC | SOLE SHAREHOLDER | |
| BRONSON, JOHN LINDLEY | SECRETARY | 4123239 |
| CHAPLIN, C EDWARD | TREASURER | 2744560 |
| CRAWFORD, GARY RAYMOND JR | CHIEF FINANCIAL OFFICER, ASSISTANT TREASURER, SROP | 2667198 |
| ERICKSON, JOYCE BUDD | CROP AND VICE PRESIDENT | 604007 |
| GUNIA, ROBERT FRANCIS | DIRECTOR | 1367737 |
| KIM, JOHN YONG | PRESIDENT, DIRECTOR | 2010539 |
| MARCKS, CHRISTINE CANNON | DIRECTOR | 2801693 |
| MCGUIRE, CARL LOUIS | CHIEF COMPLIANCE OFFICER AND VICE PRESIDENT | 2316372 |
| SLEYSTER, SCOTT GARRETT | DIRECTOR | 3237223 |
| ZARELLI, MICHAEL ROBERT | DIRECTOR | 1780900 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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