Patrick James Bocking
Professional Summary
Patrick James Bocking is a registered financial advisor currently at HAYWOOD SECURITIES (USA) INC.. Patrick is registered as a RR (Registered Representative) and started their career in finance in 1997. Patrick has worked at 4 firms and has passed the Series 63, SIE and Series 37 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
HAYWOOD (USA) SECURITIES INC. | HAYWOOD SECURITIES (USA) INC. | HAYWOOD CAPITAL MARKETS
Contact Information
Main Address
200 Burrard St Suite 700, Vancouver, Bc, V6C 3L6Mailing Address
200 Burrard St Suite 700, Vancouver, Bc, V6C 3L6Phone Number
(604) 697-7400Firm Type
CorporationFiscal Year End
SeptemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(4/7/2025)
(4/5/2018)
(9/15/2015)
(9/15/2015)
(1/25/2018)
(1/13/2021)
(3/31/2025)
(1/26/2016)
(10/26/2023)
(3/25/2019)
(1/3/2018)
(1/8/2018)
(10/26/2023)
(8/29/2024)
(10/26/2023)
(12/5/2025)
(10/2/2018)
(7/6/2017)
(10/19/2018)
(1/31/2018)
(10/10/2018)
(9/9/2024)
(3/13/2019)
(8/16/2017)
(10/25/2021)
(1/3/2017)
(9/15/2015)
(6/12/2018)
(6/20/2019)
(10/3/2017)
(10/4/2018)
(9/11/2017)
(3/5/2019)
(9/18/2018)
(10/5/2018)
(9/15/2015)
(12/5/2017)
(10/10/2018)
(10/13/2016)
(4/24/2024)
(6/6/2018)
(1/10/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 37 — Canada Module of the General Securities Registered Representative (With Options Questions)
Passed Jan 1997SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Patrick James Bocking's CRS (Customer Relationship Summary).
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