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Patrick M. Fox

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CRD#: 5173227
PF

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 Michael Fox was a registered financial professional .

Patrick is a previously registered financial professional and started their career in finance in 2011. Patrick had worked at 1 firm and has passed the Series 63 and Series 79 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

December 19, 2011 - August 22, 2014

HASI SECURITIES LLC

BD
CRD#: 154669
SONOMA, CA

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: 3/21/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79
Date: 12/16/2011
Investment Banking Registered Representative Examination

Current Firm

HS
HASI SECURITIES LLC
HANNON ARMSTRONG SECURITIES, LLC | HASI SECURITIES, LLC | HASI SECURITIES LLC

CRD#: 154669 / SEC#: , 8-68659

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

Main Address
One Park Place Suite 200, Annapolis, MD 21401
Mailing Address
One Park Place Suite 200, Annapolis, MD 21401
Phone number
(410) 571-6167
Established
Maryland since 07/22/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
HAT HOLDINGS I LLCSOLE MEMBER
KASKY, CAROLYN JOCCO, FINOP, CFO, PRINCIPAL FINANCIAL OFFICER1189697
MCMAHON, DANIEL KEVINCHIEF EXECUTIVE OFFICER3038849
MCMAHON, DANIEL KEVINCOO, MANAGING PRINCIPAL, PRINCIPAL OPERATIONS OFFICER3038849

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

HASI SECURITIES LLC

CRD#: 154669

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