Patricia A. Schroeder
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 Ann Schroeder was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1972. Patricia had worked at 8 firms and has passed the Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 1991 - July 22, 1992
FRANKLIN-LORD, INC.
January 17, 1991 - October 15, 1991
FIRST AMERICAN BILTMORE SECURITIES, INC.
June 24, 1989 - January 15, 1991
BILTMORE EQUITIES & SECURITIES, LTD.
February 21, 1989 - August 16, 1989
CENTURY FINANCIAL SECURITIES, INC.
September 4, 1986 - February 11, 1989
PRINCETON AMERICAN EQUITIES CORPORATION
May 17, 1985 - July 21, 1986
FIRST PREFERRED INVESTMENT CORPORATION
May 30, 1979 - April 22, 1985
COLLIERS SECURITIES LLC
November 9, 1972 - June 29, 1979
ENGLER-BUDD & COMPANY 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: 11/2/1972
Registered Representative ExaminationCurrent Firm
FRANKLIN-LORD, INC.
CRD#: 6756 / SEC#: , 8-18060
Contact information
Documents
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.
