Patrick J. Crocker
Professional summary
Patrick John Crocker is a registered financial professional currently at TD SECURITIES (USA) LLC located in San Francisco, California.
Patrick is registered as a RR (Registered Representative) and started their career in finance in 1996. Patrick has worked at 10 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 62 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Patrick John Crocker's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 7, 2024 - Present
TD SECURITIES (USA) LLC
Office #1: 450 Sansome Street 4th Floor, San Francisco, CA 94111October 1, 2020 - April 11, 2024
COWEN AND COMPANY
November 15, 2013 - October 20, 2020
ALTACCESS SECURITIES COMPANY, L.P.
February 21, 2013 - July 24, 2014
FIRST CRAFT SECURITIES, LLC
November 18, 2010 - April 9, 2013
INSTREAM PARTNERS LLC
December 14, 2001 - August 20, 2010
HARRIS WILLIAMS
February 14, 2000 - June 6, 2001
OFFROAD SECURITIES, INC.
June 14, 1999 - October 5, 1999
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - June 14, 1999
DB ALEX. BROWN LLC
December 3, 1996 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/7/2024)
(3/7/2024)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 62
Date: 12/2/1996
Corporate Securities Limited Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
Red Flags
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