Patricia M. Nicholls
Professional summary
Patricia Marie Nicholls, who also goes by Patricia Marie Crawley, Patricia Trish Crawley, Patricia M Nicholls, Patricia Marie Nicholls, Patricia Nicholls, Trish Nicholls, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in Spokane Valley, Washington.
Patricia is registered as a RR (Registered Representative) and started their career in finance in 1997. Patricia has worked at 7 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Patricia Marie Nicholls's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 21, 2026 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 14610 E Sprague, Spokane Valley, WA 99216July 21, 2025 - September 9, 2025
ALLSTATE FINANCIAL SERVICES, LLC
June 28, 2010 - October 2, 2023
ALLSTATE FINANCIAL SERVICES, LLC
June 1, 2009 - April 29, 2010
MORGAN STANLEY
June 1, 2009 - April 29, 2010
MORGAN STANLEY
April 16, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 16, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 31, 2008 - April 24, 2008
RBC CAPITAL MARKETS, LLC
January 31, 2008 - April 24, 2008
RBC CAPITAL MARKETS, LLC
November 10, 2003 - November 21, 2007
RBC CAPITAL MARKETS, LLC
November 10, 2003 - November 21, 2007
RBC CAPITAL MARKETS, LLC
September 29, 2003 - October 29, 2003
WAMU INVESTMENTS, INC.
September 23, 2003 - October 29, 2003
WAMU INVESTMENTS, INC.
September 10, 2002 - March 3, 2003
WAMU INVESTMENTS, INC.
September 10, 2002 - March 3, 2003
WAMU INVESTMENTS, INC.
March 16, 2001 - September 11, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 19, 1997 - September 11, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
(4/21/2026)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | CHIEF COMPLIANCE OFFICER | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
Red Flags
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