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PD

Patrick H. Dowling

DUCERA SECURITIES LLC
New York, NY 10036
Some features on this profile are disabled
CRD#: 6710935
PD

Professional summary

Patrick Henry Dowling Jr., who also goes by Patrick Henry Dowling, is a registered financial professional currently at DUCERA SECURITIES LLC located in New York, New York.

Patrick is registered as a RR (Registered Representative) and started their career in finance in 2017. Patrick has worked at 1 firm and has passed the SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Patrick Henry Dowling

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 Henry Dowling Jr.'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

June 27, 2017 - Present

DUCERA SECURITIES LLC

Office #1: 11 Times Square, Floor 36, New York, NY 10036Office #2: 11 Times Square, Floor 36, New York, NY 10036Office #3: 262 Harbor Drive 4th Floor, Shippan Landing, Stamford, CT 06902
BD
CRD#: 269984
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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 6/27/2017
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

DS
DUCERA SECURITIES LLC
DUCERA SECURITIES LLC

CRD#: 269984 / SEC#: , 8-69643

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

Main Address
11 Times Square, Floor 36, New York, NY 10036
Mailing Address
11 Times Square, Floor 36, New York, NY 10036
Phone number
(212) 671-9771
Established
Delaware since 05/18/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
DUCERA LLCMEMBER
SCHERER, JOSHUA SCOTTCCO, EXECUTIVE REP.2522342
DOWLING, PATRICK HENRY JR.CHIEF OPERATING OFFICER6710935
HOPKINS, THOMAS JOHNFINOP, CFO1835087
KRAMER, MICHAEL ALLENMANAGER, PRINCIPAL2341638

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

DUCERA SECURITIES LLC

CRD#: 269984New York, NY 10036

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