Patricia Isabel R. Almonte
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 Isabel Rivera Almonte, who also goes by Isabel Almonte, Pai Almonte, Patricia Almonte, Patricia Isabel R Almonte, Tricia Rivera Almonte, Trish Almonte, was a registered financial professional .
Patricia Isabel is a previously registered financial professional and started their career in finance in 2011. Patricia Isabel had worked at 3 firms and has passed the 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 2, 2013 - June 23, 2016
DIRECTED SERVICES LLC
November 27, 2012 - May 23, 2013
RIVERSOURCE DISTRIBUTORS, INC.
June 22, 2011 - November 27, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DIRECTED SERVICES LLC
CRD#: 21675 / SEC#: 801-32675, 8-39104
Contact information
FINRA licenses (5 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
