Patrick R. Harrison
Professional summary
Patrick Richard Harrison was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Patrick is a previously registered financial advisor and started their career in finance in 2005. Prior to being barred, Patrick had worked at 5 firms, which includes CUSO FINANCIAL SERVICES L.P., BANCWEST INVESTMENT SERVICES INC., WELLS FARGO CLEARING SERVICES LLC, WELLS FARGO INVESTMENTS LLC, NORTHWESTERN MUTUAL INVESTMENT SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2013 - July 24, 2014
CUSO FINANCIAL SERVICES, L.P.
August 22, 2013 - July 24, 2014
CUSO FINANCIAL SERVICES, L.P.
June 19, 2012 - September 13, 2012
BANCWEST INVESTMENT SERVICES, INC.
June 19, 2012 - September 13, 2012
BANCWEST INVESTMENT SERVICES, INC.
January 3, 2011 - June 21, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - June 21, 2012
WELLS FARGO CLEARING SERVICES, LLC
November 30, 2006 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
September 19, 2006 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
November 11, 2005 - March 17, 2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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
CUSO FINANCIAL SERVICES, L.P.
CRD#: 42132 / SEC#: 801-60300, 8-49711
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,354 |
| AUM (Assets Under Management) | $ 5,378,345,125 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/27/2024 | ||
| 01/10/2024 |
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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