Thomas R. Hinds
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.
Thomas Richard Hinds JR, who also goes by Thomas Hinds, Tom Hinds, Thomas Richard Hinds Jr., was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2003. Thomas had worked at 8 firms and has passed the Series 66, SIE, Series 31 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
August 3, 2017 - April 30, 2019
PATRICK CAPITAL MARKETS, LLC
August 29, 2012 - November 18, 2016
GOLDMAN SACHS & CO. LLC
April 20, 2006 - August 10, 2012
AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.
March 30, 2006 - April 20, 2006
AMUNDI ASSET MANAGEMENT US, INC.
March 29, 2006 - August 10, 2012
AMUNDI DISTRIBUTOR US, INC.
May 17, 2005 - March 30, 2006
MERRILL LYNCH INVESTMENT MANAGERS LP
May 17, 2005 - March 30, 2006
FAM DISTRIBUTORS, INC.
February 7, 2003 - May 17, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 8, 2003 - May 17, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
PATRICK CAPITAL MARKETS, LLC
CRD#: 16518 / SEC#: , 8-34099
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAXONY FINANCIAL HOLDINGS, LLC. | SOLE OWNER/ MEMBER | |
| CLARK, BRIAN LESLEY | PRESIDENT, CEO, AND CFO | 4802438 |
| KLUMP, RYAN CHRISTOPHER | SENIOR VICE PRSIDENT | 4762698 |
| MATARAZZI, NATHAN DOMENICO | FINOP, POO AND PFO | 4827090 |
| MITCHELL, JARAD BYRAM | COO | 4811305 |
| WEBSTER, TERRANCE MICHAEL | CHIEF COMPLIANCE OFFICER | 6826889 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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