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Patricia A. Garrett

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CRD#: 4636487
PG

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 A. Garrett was a registered financial professional .

Patricia is a previously registered financial professional and started their career in finance in 2003. Patricia had worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

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

July 7, 2014 - July 21, 2015

MBS CAPITAL MARKETS, LLC

BD
CRD#: 155065
TAMPA, FL
Past

March 16, 2009 - August 16, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
TAMPA, FL
Past

April 11, 2003 - November 1, 2010

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
TAMPA, FL

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
Series 63
Date: 5/5/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/21/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/9/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 8/23/2010
Municipal Securities Principal Examination

Current Firm

MC
MBS CAPITAL MARKETS, LLC
MBS CAPITAL MARKETS, LLC

CRD#: 155065 / SEC#: , 8-68690

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
1902 S. Macdill Avenue, Tampa, FL 33629
Mailing Address
1902 S. Macdill Avenue, Tampa, FL 33629
Phone number
(813) 281-2700
Established
Florida since 07/21/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (21 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BULLEIT, EDWIN MURRAYMANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER/MUNICIPAL PRINCIPAL/MANAGING MEMBER/AML OFFICER/FINOP1452847
SEALY, BRETT AARONMANAGING PARTNER2526344
MOSSING, RHONDA KAYSENIOR VICE PRESIDENT/MANAGING PARTNER5079617

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

MBS CAPITAL MARKETS, LLC

CRD#: 155065

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