AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
PP

Patricia A. Primus

TRANSITIONAL BROKER LLC
Lansdale, PA 19446
Some features on this profile are disabled
CRD#: 3167713
PP

Professional summary

Patricia Ann Primus, who also goes by Patti Primus, Patricia Ann Rimshaw, is a registered financial professional currently at TRANSITIONAL BROKER LLC located in Lansdale, Pennsylvania.

Patricia is registered as a RR (Registered Representative) and started their career in finance in 2001. Patricia has worked at 7 firms and has passed the SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Patti Primus | Patricia Ann Rimshaw

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Patricia Ann Primus's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 5, 2024 - Present

TRANSITIONAL BROKER LLC

Office #1: 800 North Broad Street, Lansdale, PA 19446
BD
CRD#: 304313
Lansdale, PA
Past

March 31, 2021 - February 29, 2024

INTERCAROLINA FINANCIAL SERVICES, INC.

BD
CRD#: 19475
GREENSBORO, NC
Past

March 25, 2017 - August 27, 2020

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
NEWTOWN SQUARE, PA
Past

July 9, 2002 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
PLYMOUTH MEETING, PA
Past

July 9, 2002 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
NEWTOWN SQUARE, PA
Past

October 16, 2001 - April 26, 2002

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
EL SEGUNDO, CA
Past

August 3, 2001 - October 9, 2001

1717 CAPITAL MANAGEMENT COMPANY

BD
CRD#: 4082
NEWARK, DE

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/2/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TB
TRANSITIONAL BROKER LLC
TRANSITIONAL ADVISOR | TRANSITIONAL BROKER, LLC | TRANSITIONAL BROKER LLC | TRANSITIONAL BROKER

CRD#: 304313 / SEC#: , 8-70353

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
11650 S. State Street, Suite 200, Draper, UT 84020
Mailing Address
11650 S. State Street, Suite 200, Draper, UT 84020
Phone number
(801) 855-8886
Established
Utah since 05/09/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (28 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DAVID WM. JAMES, LLCOWNER
JAMES, DAVID WILLIAMCHIEF OPERATIONS OFFICER, CFO & PRINCIPAL1241412
MYERS, BRAD JEDDCHIEF COMPLIANCE OFFICER4171462
THORNTON, STEVEN LEEFINOP PRINCIPAL4496384

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.

Company Information

TRANSITIONAL BROKER LLC

CRD#: 304313Lansdale, PA 19446

TRUST BUT VERIFY

Monitor Patricia Primus

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Paul B Mullen
Paul MullenAdvisorCheck Check Mark
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IAR
RR
Horsham, PA
Boris Niko
Boris NikoAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Feasterville, PA
Dustin Michael Willing
Dustin WillingAdvisorCheck Check Mark
KESTRA ADVISORY SERVICES, LLC
IAR
RR
Wayne, PA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics