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Patrick Stiefel

Some features on this profile are disabled
CRD#: 5734388
PS

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 Stiefel was a registered financial professional .

Patrick is a previously registered financial professional and started their career in finance in 2009. Patrick had worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, Series 57TO, Series 79TO, SIE, Series 55, Series 17, Series 27, Series 4 and Series 24 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

August 8, 2023 - August 26, 2025

REALTYX, LLC

BD
CRD#: 316304
Westport, CT
Past

November 15, 2017 - August 26, 2025

HEDGEBAY SECURITIES LLC

BD
CRD#: 121136
Westport, CT
Past

June 30, 2015 - November 16, 2017

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
STAMFORD, CT
Past

April 11, 2014 - November 16, 2017

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
STAMFORD, CT
Past

November 24, 2009 - April 12, 2012

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
STAMFORD, CT

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
IAR
Series 65
Date: 6/29/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/7/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/6/2025
General Securities Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 79TO
Date: 5/20/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 1/27/2010
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 17
Date: 11/23/2009
Limited Registered Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 3/22/2022
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 2/15/2011
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/10/2010
General Securities Principal Examination

Current Firm

RL
REALTYX, LLC
REALTYX, LLC

CRD#: 316304 / SEC#: , 8-70785

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

Main Address
62 Post Road West, Westport, CT 06880
Mailing Address
62 Post Road West, Westport, CT 06880
Phone number
(203) 635-6850
Established
Delaware since 04/09/2021
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#
BUILDING AND LAND TECHNOLOGY PE FUNDOWNER
HEDGEBAY HOLDINGS, LLCOWNER
TRIPLE POINT LIQUIDITY INC.OWNER
KURIAN, ANDREW SPENCERPRESIDENT/CFO/CCO/FINOP2756309
WALKER, SAMUEL SLOANVP - BUSINESS DEVELOPMENT1175890

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

REALTYX, LLC

CRD#: 316304

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