Patrick W. Mikus
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 William Mikus was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1999. Patrick had worked at 9 firms and has passed the Series 63, 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
June 24, 2021 - November 27, 2023
LIFESCI CAPITAL
January 29, 2018 - July 2, 2019
B. RILEY SECURITIES, INC.
August 1, 2016 - January 24, 2018
D.A. DAVIDSON & CO.
October 9, 2015 - June 30, 2016
CRT CAPITAL GROUP LLC
July 6, 2012 - October 5, 2015
NEEDHAM & COMPANY, LLC
July 2, 2008 - April 13, 2012
CANACCORD GENUITY LLC
June 5, 2000 - June 23, 2008
THOMAS WEISEL PARTNERS LLC
January 17, 2000 - June 7, 2000
PRUDENTIAL EQUITY GROUP, LLC
June 16, 1999 - January 17, 2000
VOLPE BROWN WHELAN & COMPANY, 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
LIFESCI CAPITAL
CRD#: 168404 / SEC#: , 8-69305
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCDONALD, ANDREW IAN | CHIEF EXECUTIVE OFFICER & OWNER | 4853168 |
| RICE, MICHAEL YEHUDA | PRESIDENT & OWNER | 1551556 |
| BENDER, STEVEN CHRISTOPHER | CFO/ FINOP | 2650187 |
| EVERTTS, ADAM GERALD | DOR - DIRECTOR OF RESERACH | 6240428 |
| KARMIOL, MICHAEL BRETT | HEAD OF CAPITAL MARKETS | 4264477 |
| VISCO, GLENN | CHIEF COMPLIANCE OFFICER | 2407619 |
Disclosures
| Regulatory Event | 1 |
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.
