Patsy R. Cotton
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.
Patsy Ruth Cotton was a registered financial professional .
Patsy is a previously registered financial professional and started their career in finance in 1999. Patsy had worked at 1 firm and has passed the Series 63, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 28, 1999 - November 21, 2001
J.P. MORGAN SECURITIES OF TEXAS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
J.P. MORGAN SECURITIES OF TEXAS, INC.
CRD#: 17116 / SEC#: , 8-34953
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEXAS COMMERCE OPERATING SERVICES, INC. | SHAREHOLDER OF CHASE SECURITIES OF TEXAS, INC. | |
| KNELL, TERRY LYNN | SECRETARY/TREASURER, DIRECTOR, VICE PRESIDENT, FINANCIAL & OPERATIONS PRINCIPAL | 1733584 |
| PAUKUNE, JOHN MARKHAM | PRESIDENT / DIRECTOR | 1873833 |
| WALKER, MICHAEL OWEN | DIRECTOR | 1514138 |
| WALKER, MICHAEL OWEN | PRESIDENT | 1514138 |
Disclosures
| Regulatory Event | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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