Patrick Hooker
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 Hooker, who also goes by Gerald Patrick Hooker, was a registered financial advisor .
Patrick is a previously registered financial advisor and started their career in finance in 1998. Patrick had worked at 10 firms and has passed the Series 65, Series 63, Series 31 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
August 29, 2011 - January 5, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 29, 2011 - January 5, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 8, 2011 - July 1, 2011
EQUITABLE ADVISORS, LLC
May 31, 2011 - July 1, 2011
EQUITABLE ADVISORS, LLC
October 5, 2009 - December 31, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - January 8, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
April 1, 2009 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
January 30, 2009 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
May 17, 2006 - October 30, 2008
VOYA INVESTMENTS DISTRIBUTOR, LLC
March 10, 2005 - June 1, 2006
E*TRADE SECURITIES LLC
March 4, 2004 - January 25, 2005
CHARLES SCHWAB & CO., INC.
January 15, 2004 - March 16, 2004
USAA INVESTMENT SERVICES COMPANY
January 5, 2004 - March 16, 2004
USAA INVESTMENT SERVICES COMPANY
March 17, 2003 - December 19, 2003
BANC ONE SECURITIES CORPORATION
February 20, 2003 - December 19, 2003
BANC ONE SECURITIES CORPORATION
August 7, 2000 - December 31, 2002
CHARLES SCHWAB & CO., INC.
October 8, 1998 - July 12, 2000
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
