Robert C. Patrick
Professional summary
Robert Christopher Patrick was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Robert is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Robert had worked at 5 firms, which includes LH ROSS & COMPANY INC., CONTINENTAL BROKER-DEALER CORP., RICHMARK CAPITAL CORPORATION, MILESTONE FINANCIAL SERVICES INC., SEABOARD SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2004 - May 11, 2004
LH ROSS & COMPANY, INC.
June 20, 2003 - January 21, 2004
CONTINENTAL BROKER-DEALER CORP.
May 29, 2003 - July 7, 2003
RICHMARK CAPITAL CORPORATION
April 20, 2001 - February 24, 2003
MILESTONE FINANCIAL SERVICES, INC.
January 10, 2000 - May 16, 2001
SEABOARD SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
LH ROSS & COMPANY, INC.
CRD#: 37920 / SEC#: , 8-47990
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LH ROSS HOLDING CORP. | PARENT COMPANY | |
| MICHELIN, FRANKLYN ROSS | PRESIDENT | 2459180 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 15 |
Red Flags
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