Patrick E. Gaynes
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.
Patrick Emmanuel Gaynes was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 2002. Patrick had worked at 4 firms and has passed the Series 63, Series 62 and Series 82 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2009 - January 9, 2013
TRIPOINT GLOBAL EQUITIES/BANQ(R)
October 20, 2004 - May 24, 2005
STROME SECURITIES, L.P.
August 11, 2004 - November 12, 2004
JESUP & LAMONT SECURITIES CORP
February 28, 2002 - June 7, 2004
CARDINAL SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 62
Date: 3/3/2009
Corporate Securities Limited Representative ExaminationCurrent Firm
TRIPOINT GLOBAL EQUITIES/BANQ(R)
CRD#: 143174 / SEC#: , 8-67540
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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