Patrick B. Tipton
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 Bryan Tipton was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 2010. Patrick had worked at 2 firms and has passed the Series 63, Series 62 and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2012 - November 8, 2012
M&A SECURITIES GROUP, INC.
November 19, 2010 - January 5, 2011
GVC CAPITAL 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
Series 62
Date: 5/30/2012
Corporate Securities Limited Representative ExaminationCurrent Firm
M&A SECURITIES GROUP, INC.
CRD#: 39999 / SEC#: , 8-48926
Contact information
FINRA licenses (48 States and Territories)
Documents
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.
