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PD

Patrick L. Dean

ALVAREZ & MARSAL SECURITIES
New York, NY 10022
Some features on this profile are disabled
CRD#: 5967165
PD

Professional summary

Patrick Lawrence Dean is a registered financial professional currently at ALVAREZ & MARSAL SECURITIES, LLC located in New York, New York.

Patrick is registered as a RR (Registered Representative) and started their career in finance in 2011. Patrick has worked at 2 firms and has passed the Series 63, SIE and Series 79 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) - BD

Click below to view Patrick Lawrence Dean's CRS (Customer Relationship Summary).

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

Current

October 10, 2013 - Present

ALVAREZ & MARSAL SECURITIES, LLC

Office #1: 600 Madison Avenue 8th Floor, New York, NY 10022Office #2: 600 Madison Ave 8th Floor, New York, NY, 10022
BD
CRD#: 127858
New York, NY
Past

October 19, 2011 - September 11, 2013

KROLL SECURITIES LLC

BD
CRD#: 36927
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(10/10/2013)
RR
New York
(10/10/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 9/19/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 10/18/2011
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

A&
ALVAREZ & MARSAL SECURITIES, LLC
ALVAREZ & MARSAL SECURITIES, LLC

CRD#: 127858 / SEC#: , 8-66055

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

Main Address
600 Madison Ave 8th Floor, New York, NY, 10022
Mailing Address
600 Madison Ave 8th Floor, New York, NY, 10022
Phone number
(212) 759-4433
Established
Delaware since 09/24/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ALVAREZ & MARSAL NORTH AMERICA, LLCOWNER
VARUGHESE, GEORGEPRESIDENT/ CHIEF EXECUTIVE OFFICER1070353
WINTERS, KEITH ANTHONYCHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER/FINOP3126316

Disclosures

Regulatory Event1

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

ALVAREZ & MARSAL SECURITIES, LLC

CRD#: 127858New York, NY 10022

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