Patricia A. Byron
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 Byron, who also goes by Pat Ann Byron, Pat Byron, Patty Byron, Patricia Ann Pickler, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1996. Patricia had worked at 9 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2013 - June 2, 2014
CAPITAL FINANCIAL SERVICES, INC.
January 14, 2013 - June 2, 2014
CAPITAL FINANCIAL SERVICES, INC.
December 8, 2009 - October 22, 2012
SIGNATOR FINANCIAL SERVICES, INC.
October 22, 2009 - October 22, 2012
SIGNATOR FINANCIAL SERVICES, INC.
January 17, 2007 - December 7, 2009
PREFERRED RETIREMENT OPTIONS, INC
November 2, 2005 - October 2, 2009
GWN SECURITIES INC.
November 2, 2005 - October 2, 2009
GWN SECURITIES INC.
March 16, 2005 - November 11, 2005
MM ASCEND LIFE INVESTOR SERVICES, LLC
February 15, 2005 - November 11, 2005
MM ASCEND LIFE INVESTOR SERVICES, LLC
January 1, 2002 - February 28, 2005
PMG ASSET MANAGEMENT INC
August 1, 2000 - February 15, 2005
PMG SECURITIES CORPORATION
June 28, 1999 - December 6, 2004
PREFERRED RETIREMENT OPTIONS, INC
October 29, 1996 - September 28, 1999
NATIONWIDE INVESTMENT SERVICES CORPORATION
October 23, 1996 - August 1, 2000
INVESTORS 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
Exams
Current Firm
CAPITAL FINANCIAL SERVICES, INC.
CRD#: 8408 / SEC#: 801-24253, 8-25203
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL FINANCIAL HOLDINGS, INC. | OWNER | |
| CHRISTIANSON, JOANNE MARIE | TREASURER | 5341634 |
| KAPPOTIS, ERNEST D | PRINCIPAL OPERATIONS OFFICER | 4871251 |
| KAPPOTIS, ERNEST D | PRINCIPAL FINANCIAL OFFICER | 4871251 |
| KAPPOTIS, ERNEST D | FINOP | 4871251 |
| POLLARD, DONALD ROBERT | PRESIDENT | 2181631 |
| POLLARD, DONALD ROBERT | CHIEF COMPLIANCE OFFICER | 2181631 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 5 |
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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