Patricia L. Pellett
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 Lee Pellett, who also goes by Patricia L Gasant, Patricia Gasant, Patricia L Loyd, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 2006. Patricia had worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2022 - June 27, 2022
TRAJAN WEALTH, L.L.C.
September 2, 2021 - November 8, 2021
BENEFIT FINANCIAL SERVICES GROUP
March 16, 2007 - February 19, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 14, 2007 - February 19, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 5, 2006 - February 1, 2007
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
TRAJAN WEALTH, L.L.C.
CRD#: 158847 / SEC#: 801-100392
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
TRAJAN WEALTH, L.L.C.
CRD#: 158847 / SEC#: 801-100392
Contact information
SEC notice filing (46 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 15,595 |
| AUM (Assets Under Management) | $ 1,969,683,196 |
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.
