Patricia W. Schaen
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.
Patricia Wolff Schaen, who also goes by Patricia A Schaen, Patricia Ann Schaen, Patricia A Wolff, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1966. Patricia had worked at 4 firms and has passed the Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2003 - September 27, 2004
BERRY-SHINO SECURITIES, INC.
May 18, 1988 - March 3, 2003
WOLFF INVESTMENT GROUP INCORPORATED
September 29, 1972 - May 10, 1988
STRASBOURGER PEARSON TULCIN WOLFF INCORPORATED
March 7, 1966 - September 29, 1972
STRASBOURGER PEARSON TULCIN INC
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 1
Date: 3/4/1966
Registered Representative ExaminationSeries 40
Date: 11/15/1968
Registered Principal ExaminationCurrent Firm
BERRY-SHINO SECURITIES, INC.
CRD#: 38098 / SEC#: , 8-48091
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
| Arbitration | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
