Patricia Ferris
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 Ferris, who also goes by Patricia Mary Asselin, Patricia M Ferris, Patricia Mary Ferris, 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 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 2022 - August 5, 2022
BOSTON FINANCIAL MANAGEMENT LLC
July 17, 2018 - February 8, 2022
COMMONWEALTH FINANCIAL NETWORK
November 10, 2010 - October 16, 2017
WINDHAVEN INVESTMENT MANAGEMENT, INC.
October 27, 2010 - November 18, 2010
WINDWARD INVESTMENT MANAGEMENT INC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
BOSTON FINANCIAL MANAGEMENT LLC
CRD#: 112360 / SEC#: 801-11178
Contact information
Regulatory assets under management
| Total Number of Accounts | 3,056 |
| AUM (Assets Under Management) | $ 5,013,997,070 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 09/20/2023 | ||
| 12/19/2022 |
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.
