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PK

Patricia W. Kearney

Some features on this profile are disabled
CRD#: 4585350
PK

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 White Kearney, who also goes by Patricia Ann Kearney, Patricia W Kearney, Patricia Ann Lustig, Patricia Ann White, was a registered financial professional .

Patricia is a previously registered financial professional and started their career in finance in 2002. Patricia had worked at 6 firms and has passed the Series 66 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Patricia Ann Kearney | Patricia W Kearney | Patricia Ann Lustig | Patricia Ann White

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 13, 2011 - May 21, 2012

COULTER FINANCIAL ADVISORS, INC

RIA
CRD#: 114197
PALM BEACH GARDENS, FL
Past

February 23, 2011 - April 16, 2012

SECURITIES AMERICA, INC.

BD
CRD#: 10205
PALM BEACH GARDENS, FL
Past

July 18, 2008 - October 16, 2009

LPL FINANCIAL LLC

RIA
CRD#: 6413
PALM BEACH GARDENS, FL
Past

June 9, 2008 - October 16, 2009

LPL FINANCIAL LLC

BD
CRD#: 6413
PALM BEACH GARDENS, FL
Past

March 19, 2008 - April 22, 2008

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI
Past

October 18, 2005 - January 7, 2008

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
PALM BEACH GARDENS, FL
Past

September 13, 2005 - January 7, 2008

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
PALM BEACH GARDENS, FL
Past

October 20, 2003 - December 31, 2004

WHITE KEARNEY RISK MANAGEMENT, LLC

RIA
CRD#: 127792
PALM BEACH GARDENS, FL
Past

October 31, 2002 - March 1, 2005

NORTHEAST SECURITIES, LLC

BD
CRD#: 25996
MITCHELFIELD, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/30/2002
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/30/2002
General Securities Representative Examination

Current Firm

CF
COULTER FINANCIAL ADVISORS, INC
COULTER FINANCIAL ADVISORS, INC

CRD#: 114197 / SEC#: 802-77842

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Contact information

Main Address
262 Kelsey Park Circle, Palm Beach Gardens, FL 33410
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
SEC / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
SECERA - Withdrawn1/6/2014

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.

Company Information

COULTER FINANCIAL ADVISORS, INC

CRD#: 114197

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