Francis J. Patriarca
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.
Francis Justin Patriarca was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1969. Francis had worked at 5 firms and has passed the Series 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2016 - December 31, 2024
THE INVESTMENT CENTER, INC.
April 1, 1991 - April 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 26, 1982 - April 1, 1991
PW SECURITIES, INC.
October 17, 1972 - April 13, 1982
CARL P. SHERR & CO., LLC
August 22, 1969 - December 6, 1972
SECURITY INVESTMENT SERVICES CORP.
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 5/7/1968
Registered Representative ExaminationCurrent Firm
THE INVESTMENT CENTER, INC.
CRD#: 17839 / SEC#: , 8-35826
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 5 |
Red Flags
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