Patrick N. Bathon
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 N Bathon was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 2018. Patrick had worked at 1 firm and has passed the 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
October 18, 2018 - September 11, 2019
BMO INVESTMENT DISTRIBUTORS, 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
Current Firm
BMO INVESTMENT DISTRIBUTORS, LLC
CRD#: 146711 / SEC#: , 8-67845
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMO FINANCIAL CORP. | DIRECT PARENT CORPORATION | |
| GREGORY, MARK ANDREW | CHIEF COMPLIANCE OFFICER | 2253531 |
| JONES, BEN D | PRESIDENT, CHIEF OPERATING OFFICER, DIRECTOR | 4206990 |
| LAKE, STEPHANIE ANN | CHIEF FINANCIAL OFFICER | 5845009 |
| OLEARI, SUSAN G | DIRECTOR | 6660230 |
| PAPAGEORGAKIS, PETE | DIRECTOR | 1974178 |
| RAYNIER, MATTHEW BRENNAN | AML OFFICER | 6843589 |
| WANIE, LEE GORDON JULIAN | DIRECTOR | 2793249 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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