Graeme H. Patey
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.
Graeme H Patey, who also goes by Graeme Patey, was a registered financial professional .
Graeme is a previously registered financial professional and started their career in finance in 2004. Graeme had worked at 8 firms and has passed the Series 66, SIE 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
July 29, 2014 - October 30, 2014
INDEPENDENT FINANCIAL GROUP, LLC
July 25, 2014 - October 30, 2014
INDEPENDENT FINANCIAL GROUP, LLC
February 14, 2013 - July 21, 2014
FINANCIAL TELESIS INC
January 28, 2013 - July 21, 2014
FINANCIAL TELESIS INC
February 29, 2012 - August 16, 2012
PNC WEALTH MANAGEMENT LLC
February 28, 2012 - August 16, 2012
PNC WEALTH MANAGEMENT LLC
November 19, 2010 - February 29, 2012
LPL FINANCIAL LLC
November 18, 2010 - February 29, 2012
LPL FINANCIAL LLC
July 20, 2009 - November 29, 2010
CHASE INVESTMENT SERVICES CORP.
July 20, 2009 - November 29, 2010
CHASE INVESTMENT SERVICES CORP.
June 1, 2009 - August 5, 2009
MORGAN STANLEY
June 1, 2009 - August 5, 2009
MORGAN STANLEY
December 18, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
December 15, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
October 26, 2004 - December 15, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 17, 2004 - December 15, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
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
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 54,951 |
| AUM (Assets Under Management) | $ 12,925,435,801 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
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.
