Patrick J. Smith
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 John Smith was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 2014. Patrick had worked at 5 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE and Series 56 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2021 - March 9, 2026
REGIMENT SECURITIES, LLC.
June 19, 2018 - March 4, 2019
G2 TRADING LLC
January 9, 2017 - January 26, 2018
AVATAR SECURITIES, LLC
March 2, 2015 - September 22, 2016
SUMO CAPITAL, LLC
April 3, 2014 - March 6, 2015
ZYDECO TRADING, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 7/12/2021
General Securities Representative ExaminationSeries 56
Date: 4/3/2014
Proprietary Trader Qualification ExaminationCurrent Firm
REGIMENT SECURITIES, LLC.
CRD#: 311302 / SEC#: , 8-70607
Contact information
FINRA licenses (34 States and Territories)
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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