Patricia A. Roberts
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 Angel Roberts, who also goes by Patricia Angel George, Trish George, Patricia Roberts, Trish Roberts, Patricia Angel Watson, Trish Watson, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 2007. Patricia had worked at 7 firms and has passed the Series 66, SIE, Series 31 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
September 10, 2018 - September 16, 2019
PRUCO SECURITIES, LLC.
September 6, 2018 - September 16, 2019
PRUCO SECURITIES, LLC.
October 21, 2016 - August 29, 2018
TRUIST ADVISORY SERVICES, INC.
October 13, 2016 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
September 30, 2016 - August 29, 2018
TRUIST INVESTMENT SERVICES, INC.
October 1, 2012 - October 14, 2016
J.P. MORGAN SECURITIES LLC
October 1, 2012 - October 14, 2016
J.P. MORGAN SECURITIES LLC
November 7, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
November 2, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
November 20, 2008 - December 6, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 14, 2008 - December 6, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 8, 2008 - October 16, 2008
CITIGROUP GLOBAL MARKETS INC.
October 30, 2007 - October 16, 2008
CITIGROUP GLOBAL MARKETS INC.
Primary Firm SEC Registration
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
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
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SOLE MEMBER | |
| FELICIANO, DEXTER MICHAEL | PRESIDENT | 5483537 |
| FLORIO, KELLY NICOLE | ANTI-MONEY LAUNDERING OFFICER | 6446272 |
| FONTANO, ANTHONY MICHAEL | ELECTED MANAGER | 6852155 |
| HYNES, PATRICK LIAM | CHAIRMAN, ELECTED MANAGER | 2748918 |
| PATEL, PARANJ | CHIEF COMPLIANCE OFFICER | 4235738 |
| SMIT, ROBERT PHILIP | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, CONTROLLER, PRINCIPAL OPERATIONS OFFICER | 2332366 |
| THOMSEN, JORDAN KARSTEN | CHIEF LEGAL OFFICER | 2821664 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 13 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 12/22/2023 | ||
| 12/22/2023 |
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.
