Patrick J. White

ULLICO INVESTMENT COMPANY

Silver Spring, MD 20910

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CRD#: 4344341

Professional summary

Patrick J White is a registered financial professional currently at ULLICO INVESTMENT COMPANY, LLC located in Silver Spring, Maryland.

Patrick is registered as a RR (Registered Representative) and started their career in finance in 2006. Patrick has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

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Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 10, 2016 - Present

ULLICO INVESTMENT COMPANY, LLC

Office #1: 8403 Colesville Rd. 13 Floor, Silver Spring, MD 20910

CRD#: 135195

Silver Spring, MD

Past

April 16, 2013 - April 20, 2016

MANNING & NAPIER ADVISORS, LLC

RIA

CRD#: 105992

BRAINTREE, MA

Past

June 1, 2012 - April 20, 2016

MANNING & NAPIER INVESTOR SERVICES, INC.

CRD#: 26266

FAIRPORT, NY

Past

July 21, 2009 - January 11, 2010

MMC SECURITIES LLC

CRD#: 103846

NORWOOD, MA

Past

May 22, 2006 - July 7, 2009

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

NORWOOD, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Maryland
(5/10/2016)

Massachusetts
(5/10/2016)

Exams

State Security Law Exam

IAR

Series 65

Date: 4/9/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/7/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/19/2017

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/31/2012

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ULLICO INVESTMENT COMPANY, LLC

ULLICO INVESTMENT COMPANY, INC. | ULLICO INVESTMENT COMPANY, LLC

CRD#: 135195 / SEC#: , 8-66906

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

8403 Colesville Rd. 13 Floor, Silver Spring, MD 20910

Mailing Address

8403 Colesville Rd. 13 Floor, Silver Spring, MD 20910

Phone number

(202) 682-0900

Established

Maryland since 07/16/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (8 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ULLICO INC.	SOLE SHAREHOLDER
HUMPHREY, CATHY ANN	CHIEF OPERATIONS OFFICER	4899999
HUMPHREY, CATHY ANN	DIRECTOR	4899999
LAROCQUE, RICHARD FRANCIS	CHIEF COMPLIANCE OFFICER, GEN. SEC. PRINC	2874559
LINEHAN, JOSEPH RICHARD	GEN. SEC. PRINC.; AND PRESIDENT	4951041
LINEHAN, JOSEPH RICHARD	DIRECTOR
YU, YINAN	CORPORATE SECRETARY, CFO, FINOP, TREASURER, DIRECTOR	7787306

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.

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Advisor Monitoring

Firm Stability Insights

Patrick J. White

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Patrick J White's CRS (Customer Relationship Summary).

Certified licenses

Experience

MANNING & NAPIER ADVISORS, LLC

MANNING & NAPIER INVESTOR SERVICES, INC.

MMC SECURITIES LLC

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

State Registrations and Notice Filings

Exams

Series 65

Date: 4/9/2013

Series 63

Date: 6/7/2012

SIE

Date: 10/1/2018

Series 7

Date: 4/19/2017

Series 6

Date: 5/31/2012

FINRA

Current Firm

ULLICO INVESTMENT COMPANY, LLC

Contact information

FINRA licenses (8 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ULLICO INVESTMENT COMPANY, LLC

TRUST BUT VERIFY

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