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PA

Patrick M. Adrian

NFSTX
New York, NY 10036
Some features on this profile are disabled
CRD#: 6268379
PA

Professional summary

Patrick Michael Adrian is a registered financial professional currently at NFSTX, LLC located in New York, New York.

Patrick is registered as a RR (Registered Representative) and started their career in finance in 2013. Patrick has worked at 2 firms and has passed the Series 63, Series 7TO, SIE and Series 3 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 Michael Adrian'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

January 3, 2022 - Present

NFSTX, LLC

Office #1: 4 Times Square 27th Floor, New York, NY 10036
BD
CRD#: 172583
New York, NY
Past

November 8, 2013 - April 26, 2018

MONEA INVESTMENTS, LLC

RIA
CRD#: 168037
TACOMA, WA

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
New York
(1/9/2025)
RR
Washington
(1/9/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 11/25/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/3/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/18/2021
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 2/19/2014
National Commodity Futures Examination
SRO Registrations
RR
FINRA

Current Firm

NL
NFSTX, LLC
NFSTX, LLC | SMTX, LLC

CRD#: 172583 / SEC#: , 8-69512

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

Main Address
4 Times Square 27th Floor, New York, NY 10036
Mailing Address
151 West 42 Street 27th Floor, New York, NY 10036
Phone number
(212) 381-6440
Established
Delaware since 07/23/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
NASDAQ FUND SECONDARIES, LLC100% OWNER OF NFSTX, LLC
CRANE, LINDA SALIERNOPRINCIPAL FINANCIAL OFFICER4374198
JOHNSON, LISA PATTONCHIEF COMPLIANCE OFFICER4168397
MABIN, RORY ALISONCEO5141036

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

NFSTX, LLC

CRD#: 172583New York, NY 10036

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