Patricia Ward
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 Ward, who also goes by Tricia Ward Parrelly, Tricia Parrelly, Tricia Ward, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 2010. Patricia had worked at 4 firms and has passed the Series 66, Series 63, SIE 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
August 29, 2014 - July 20, 2018
TD AMERITRADE, INC.
August 29, 2014 - July 20, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
August 13, 2014 - July 20, 2018
TD AMERITRADE, INC.
November 19, 2013 - April 9, 2014
J.P. MORGAN SECURITIES LLC
November 18, 2010 - April 4, 2011
CREDIT SUISSE SECURITIES (USA) 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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
