Thomas H. Patrick
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.
Thomas Harold Patrick was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1970. Thomas had worked at 7 firms and has passed the Series 7TO, Series 99TO, SIE, Series 1 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2005 - April 27, 2021
SF INVESTMENTS, INC.
December 22, 1980 - February 3, 1983
ZAHORIK COMPANY, INC.
October 2, 1980 - December 22, 1980
ZAHORIK COMPANY, INC.
September 26, 1978 - August 5, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 15, 1975 - September 26, 1978
WHITE, WELD & CO. INCORPORATED
June 1, 1972 - January 15, 1975
WHITE, WELD & CO., INCORPORATED
February 18, 1970 - April 25, 1972
SEARS SUCSY & CO
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 1
Date: 2/13/1970
Registered Representative ExaminationCurrent Firm
SF INVESTMENTS, INC.
CRD#: 6564 / SEC#: 801-66533, 8-34069
Contact information
FINRA licenses (16 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIEL SHAPIRO GIFT TRUST | SHAREHOLDER - TRUSTEE IS A CONTOL PERSON; NON -VOTING SHARES | |
| LESLEY SHAPIRO BEIDER GIFT TRUST | SHAREHOLDER - TRUSTEE IS NOT A CONTROL PERSON; NON-VOTING SHARES | |
| STEVEN SHAPIRO GIFT TRUST | SHAREHOLDER - TRUSTEE IS A CONTROL PERSON; NON-VOTING SHARES | |
| JUST, GARY ALAN | CHIEF FINANCIAL OFFICER/FINANCIAL AND OPERATIONS PRINCIPAL, CHIEF COMPLIANCE OFFICER | 2101902 |
| SHAPIRO BEIDER, LESLEY E | TRUSTEE LESLEY SHAPIRO BEIDER GIFT TRUST | |
| SHAPIRO, DANIEL MARK | CEO, TRUSTEE OF DANIEL SHAPIRO GIFT TRUST | 1989147 |
| SHAPIRO, STEVEN ARTHUR | VICE PRESIDENT/CHIEF INVESTMENT OFFICER, TRUSTEE STEVEN SHAPIRO GIFT TRUST | 2153746 |
Disclosures
| Regulatory Event | 4 |
Red Flags
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