Patricia A. Keene
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 Keene, who also goes by Patricia A Keene, Patricia Keene, Trina Keene, Patricia Ann Rendina, Trina Rendina, Patricia Ann Wrenn Mrs., Trina Wrenn, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 2003. Patricia had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2011 - June 28, 2016
LARSON FINANCIAL GROUP, LLC
February 15, 2011 - June 28, 2016
LARSON FINANCIAL SECURITIES, LLC
September 8, 2009 - January 4, 2010
WADDELL & REED
September 8, 2009 - January 4, 2010
WADDELL & REED
July 10, 2008 - May 21, 2009
NATCITY INVESTMENTS, INC.
July 10, 2008 - May 21, 2009
NATCITY INVESTMENTS, INC.
July 15, 2004 - July 8, 2008
VALIC FINANCIAL ADVISORS, INC.
March 2, 2004 - July 8, 2008
VALIC FINANCIAL ADVISORS, INC.
March 10, 2003 - March 2, 2004
ALPS DISTRIBUTORS, INC.
Primary Firm SEC Registration
LARSON FINANCIAL GROUP, LLC
CRD#: 140599 / SEC#: 801-71543
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
Current Firm
LARSON FINANCIAL GROUP, LLC
CRD#: 140599 / SEC#: 801-71543
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 24,504 |
| AUM (Assets Under Management) | $ 4,032,736,835 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/08/2024 | ||
| 12/13/2023 | ||
| 01/03/2023 |
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.
