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PP

Patrick Ryan R. Palfrey

SEAPORT GLOBAL SECURITIES LLC
Costa Mesa, CA 92626
Some features on this profile are disabled
CRD#: 5382508
PP

Professional summary

Patrick Ryan Ryan Palfrey, who also goes by Patrick R Palfrey, Patrick Ryan Palfrey, Patrick Palfrey, is a registered financial professional currently at SEAPORT GLOBAL SECURITIES LLC located in Costa Mesa, California.

Patrick Ryan is registered as a RR (Registered Representative) and started their career in finance in 2010. Patrick Ryan has worked at 4 firms and has passed the Series 63, SIE, Series 86, Series 87 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Patrick R Palfrey | Patrick Ryan Palfrey | Patrick Palfrey

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) - BD

Click below to view Patrick Ryan Ryan Palfrey's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

July 21, 2025 - Present

SEAPORT GLOBAL SECURITIES LLC

Office #1: 3090 Bristol Street Suite 400, Costa Mesa, CA 92626
BD
CRD#: 116270
Costa Mesa, CA
Past

September 25, 2023 - May 27, 2025

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

October 3, 2017 - September 25, 2023

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

August 24, 2010 - September 28, 2017

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(7/21/2025)
RR
Alaska
(7/21/2025)
RR
Arizona
(7/21/2025)
RR
Arkansas
(7/21/2025)
RR
California
(7/21/2025)
RR
Colorado
(7/21/2025)
RR
Connecticut
(7/21/2025)
RR
Delaware
(7/21/2025)
RR
District of Columbia
(7/21/2025)
RR
Florida
(7/21/2025)
RR
Georgia
(7/21/2025)
RR
Hawaii
(7/21/2025)
RR
Idaho
(7/21/2025)
RR
Illinois
(7/21/2025)
RR
Indiana
(7/21/2025)
RR
Iowa
(7/21/2025)
RR
Kansas
(7/21/2025)
RR
Kentucky
(7/21/2025)
RR
Louisiana
(7/21/2025)
RR
Maine
(7/21/2025)
RR
Maryland
(7/21/2025)
RR
Massachusetts
(7/21/2025)
RR
Michigan
(7/21/2025)
RR
Minnesota
(7/21/2025)
RR
Mississippi
(7/21/2025)
RR
Missouri
(7/21/2025)
RR
Montana
(7/21/2025)
RR
Nebraska
(7/21/2025)
RR
Nevada
(7/21/2025)
RR
New Hampshire
(7/21/2025)
RR
New Jersey
(7/21/2025)
RR
New Mexico
(7/21/2025)
RR
New York
(7/21/2025)
RR
North Carolina
(7/21/2025)
RR
North Dakota
(7/21/2025)
RR
Ohio
(7/21/2025)
RR
Oklahoma
(7/21/2025)
RR
Oregon
(7/21/2025)
RR
Pennsylvania
(7/21/2025)
RR
Puerto Rico
(7/21/2025)
RR
Rhode Island
(7/21/2025)
RR
South Carolina
(7/21/2025)
RR
South Dakota
(7/21/2025)
RR
Tennessee
(7/21/2025)
RR
Texas
(7/21/2025)
RR
Utah
(7/21/2025)
RR
Vermont
(7/21/2025)
RR
Virginia
(7/21/2025)
RR
Washington
(7/21/2025)
RR
West Virginia
(7/21/2025)
RR
Wisconsin
(7/21/2025)
RR
Wyoming
(7/21/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 10/9/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 86
Date: 11/30/2010
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 10/13/2010
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 8/23/2010
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SG
SEAPORT GLOBAL SECURITIES LLC
GLOBAL HUNTER SECURITIES | THE SEAPORT GROUP | SP CREDIT DIRECT LLC | SEAPORT RESEARCH PARTNERS | SEAPORT GLOBAL SECURITIES LLC | SEAPORT GLOBAL | SEA PORT GROUP SECURITIES, LLC | SEA PORT GROUP SECURITIES LLC

CRD#: 116270 / SEC#: , 8-53535

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

Main Address
360 Madison Ave 22nd Floor, New York, NY 10017
Mailing Address
360 Madison Ave 22nd Floor, New York, NY 10017
Phone number
(212) 616-7700
Established
Delaware since 05/04/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SEAPORT GLOBAL HOLDINGS LLCPARENT COMPANY
MEAGHER, MICHAEL JEFFERSONCEO1755168
MEYER, MICHAEL JOHNFIXED INCOME TRADING SUPERVISOR1746788
SMITH, STEPHEN CORCORANTREASURER1248750
WITTHAUT, MARKUS CLEMENSFINOP/CCO/CFO/PFO4480831

Disclosures

Regulatory Event3

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

SEAPORT GLOBAL SECURITIES LLC

CRD#: 116270Costa Mesa, CA 92626

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