James K. Patrick
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.
James Knox Patrick IV, who also goes by Jim Patrick, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1997. James had worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2021 - January 2, 2023
MIDDLEMARCH SECURITIES LLC
October 26, 2009 - April 27, 2021
ENVESTNET PMC
October 26, 2009 - February 17, 2020
PORTFOLIO BROKERAGE SERVICES, INC.
March 7, 2003 - August 17, 2007
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC
January 15, 2002 - October 12, 2009
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
October 8, 1997 - January 28, 2002
NICHOLAS-APPLEGATE SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
MIDDLEMARCH SECURITIES LLC
CRD#: 283508 / SEC#: , 8-69758
Contact information
FINRA licenses (8 States and Territories)
Red Flags
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