Patrick J. Naughton
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.
Patrick Joseph Naughton, who also goes by Patrick Naughton, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 2000. Patrick had worked at 7 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 17, 2013 - March 26, 2019
FORESIDE DISTRIBUTION SOLUTIONS, LLC
November 20, 2013 - March 25, 2019
PNC CAPITAL ADVISORS LLC
January 26, 2010 - January 23, 2012
FORESIDE DISTRIBUTION SOLUTIONS, LLC
June 29, 2009 - December 31, 2009
IMST DISTRIBUTORS, LLC
January 1, 2006 - May 21, 2007
NORTHEAST SECURITIES, LLC
January 19, 2001 - January 6, 2004
NATCITY INVESTMENTS, INC.
May 2, 2000 - October 13, 2000
DREYFUS INVESTMENT SERVICES COMPANY, LLC
May 2, 2000 - October 13, 2000
MBSC, LLC
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
FORESIDE DISTRIBUTION SOLUTIONS, LLC
CRD#: 118787 / SEC#: , 8-53686
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | OWNER | |
| BERTHY, RICHARD JOHN MR. | PRESIDENT/MANAGER/DIRECTOR/TREASURER | 1341368 |
| DIVALERIO, JENNIFER KAY | VICE PRESIDENT | 3236826 |
| FAIRBANKS, MARK ALAN | VICE PRESIDENT | 1847318 |
| HOOPES, JENNIFER ELLEN | SECRETARY | 5462575 |
| MOSCARITOLO, SUSAN KALLAI | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 2618909 |
| SOMMERS, WESTON | FINANCIAL AND OPERATIONS PRINCIPAL | 5290145 |
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.
