Patrick F. Feeney

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CRD#: 4679430

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 Francis Feeney was a registered financial professional .

Patrick is a previously registered financial professional and started their career in finance in 2003. Patrick had worked at 8 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)

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

January 18, 2013 - February 25, 2016

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

San Ramon, CA

Past

April 22, 2009 - December 31, 2012

MADISON AVENUE SECURITIES, LLC

RIA

CRD#: 23224

ALAMO, CA

Past

April 21, 2009 - December 31, 2012

MADISON AVENUE SECURITIES, LLC

CRD#: 23224

ALAMO, CA

Past

August 20, 2007 - May 1, 2009

1ST GLOBAL ADVISORS INC

RIA

CRD#: 111133

ALAMO, CA

Past

August 20, 2007 - May 1, 2009

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

ALAMO, CA

Past

January 30, 2006 - August 24, 2007

THE STRATEGIC FINANCIAL ALLIANCE, INC.

RIA

CRD#: 126514

WALNUT CREEK, CA

Past

December 20, 2005 - August 24, 2007

THE STRATEGIC FINANCIAL ALLIANCE, INC.

CRD#: 126514

ATLANTA, GA

Past

November 4, 2004 - October 3, 2005

USALLIANZ SECURITIES, INC.

CRD#: 40875

MINNEAPOLIS, MN

Past

June 30, 2004 - November 11, 2004

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

SCHAUMBURG, IL

Past

October 27, 2003 - June 30, 2004

HOCHMAN & BAKER SECURITIES, INC.

CRD#: 19949

STAMFORD, CT

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

IAR

Series 65

Date: 1/26/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/16/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/25/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/19/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/23/2003

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PURSHE KAPLAN STERLING INVESTMENTS

PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

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

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Contact information

Main Address

80 State Street, Albany, NY 12207

Mailing Address

80 State Street, Albany, NY 12207

Phone number

(518) 436-3536

Established

New York since 12/16/1993

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PKS HOLDINGS, LLC	HOLDING CO.
BOHLEY, TRACEY LEA	CHIEF FINANCIAL OFFICER	4826937
FLOUTON, KATHERINE MARIE	PRESIDENT	4405001
KVAM, PETER DAVID	CHIEF COMPLIANCE OFFICER	4301918
MOTTA, CHRISTOPHER JOHN	COO	2741133
PURCELL, JOHN PETER	C.E.O.	1664678

Disclosures

Regulatory Event	11
Arbitration	2

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 F. Feeney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MADISON AVENUE SECURITIES, LLC

MADISON AVENUE SECURITIES, LLC

1ST GLOBAL ADVISORS INC

1ST GLOBAL CAPITAL CORP.

THE STRATEGIC FINANCIAL ALLIANCE, INC.

THE STRATEGIC FINANCIAL ALLIANCE, INC.

USALLIANZ SECURITIES, INC.

CETERA FINANCIAL SPECIALISTS LLC

HOCHMAN & BAKER SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 1/26/2006

Series 63

Date: 9/16/2003

SIE

Date: 2/25/2016

Series 7

Date: 6/19/2007

Series 6

Date: 10/23/2003

Current Firm

PURSHE KAPLAN STERLING INVESTMENTS

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PURSHE KAPLAN STERLING INVESTMENTS

TRUST BUT VERIFY

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