Patricia M. Harrod
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 Marie Harrod, who also goes by Tricia Harrod, Patricia Vanderford, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 2013. Patricia had worked at 4 firms and has passed the Series 99TO, Series 7TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2016 - July 11, 2017
STERNE, AGEE & LEACH, INC.
July 29, 2016 - July 5, 2018
INTL CUSTODY & CLEARING SOLUTIONS INC.
July 29, 2016 - August 21, 2020
STONEX SECURITIES INC.
May 29, 2013 - July 2, 2021
STONEX FINANCIAL INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 10/19/2022
General Securities Representative ExaminationCurrent Firm
STERNE, AGEE & LEACH, INC.
CRD#: 791 / SEC#: , 8-11754
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTL FCSTONE INC. | 100% OWNER | |
| TROUT, RONALD CAREY | CHIEF COMPLIANCE OFFICER | 2947546 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 6 |
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.
