Patricia Clark
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.
Patricia Clark, who also goes by Patricia Kern, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1997. Patricia had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2022 - September 9, 2022
MUTUAL SECURITIES, INC.
January 4, 2022 - February 20, 2026
WEALTH ALLIANCE ADVISORY GROUP, LLC
September 30, 2003 - December 31, 2021
L.M. KOHN & COMPANY
May 14, 2003 - December 31, 2021
L.M. KOHN & COMPANY
July 22, 2002 - May 5, 2003
GBS RETIREMENT SERVICES, INC.
November 2, 2000 - July 19, 2002
CETERA ADVISORS LLC
October 20, 1997 - October 31, 2000
CBIZ FINANCIAL SOLUTIONS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MUTUAL SECURITIES, INC.
CRD#: 13092 / SEC#: 801-68443, 8-28580
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL GROUP, INC. | CORPORATION | |
| CLAUSSEN, DAWN MARIE | CHIEF OPERATING OFFICER | 5445747 |
| DAMIANI, NICHOLAS ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 5669491 |
| JASPER, AARON T | CHIEF EXECUTIVE OFFICER | 5016734 |
| SABOL, RYAN STEPHEN | MANAGING PRINCIPAL | 4419285 |
| SHANNON, DEBRA DAWN | CHIEF COMPLIANCE OFFICER | 5021297 |
| VOSS, MITCHELL CRAIG | CHAIRMAN | 1029100 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 8 |
Red Flags
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.
