Patricia L. Whitcomb
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 Louise Whitcomb, who also goes by Patricia Louise Angel, Patricia Louise Lyman, Trish Whitcomb, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 2000. Patricia had worked at 6 firms and has passed the Series 63, SIE, Series 50, Series 52 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2015 - December 27, 2018
GEORGE K. BAUM & COMPANY
February 29, 2008 - September 24, 2009
LPL FINANCIAL LLC
January 1, 2008 - February 5, 2008
NATCITY INVESTMENTS, INC.
June 14, 2005 - August 4, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 18, 2005 - January 9, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 23, 2000 - December 14, 2001
NATCITY INVESTMENTS, INC.
October 23, 2000 - December 14, 2001
NATCITY INSURANCE SERVICES, INC.
August 28, 2000 - October 25, 2000
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GEORGE K. BAUM & COMPANY
CRD#: 36354 / SEC#: , 8-47195
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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.
