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Patrick J. Crowley

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CRD#: 6360101
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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 Joseph Crowley, who also goes by Patrick J Crowley, was a registered financial professional .

Patrick is a previously registered financial professional and started their career in finance in 2018. Patrick had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Patrick J Crowley

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 12, 2021 - May 3, 2022

NFSTX, LLC

BD
CRD#: 172583
NEW YORK, NY
Past

January 26, 2021 - August 2, 2021

NPM SECURITIES, LLC

BD
CRD#: 168469
NEW YORK, NY
Past

May 10, 2018 - January 19, 2021

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/31/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/10/2018
General Securities Representative Examination

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#: 172583

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