Patrick S. Goggins
Professional summary
Patrick Sean Goggins, who also goes by Patrick Goggins, is a registered financial professional currently at MIRAE ASSET SECURITIES (USA) INC. located in New York, New York.
Patrick is registered as a RR (Registered Representative) and started their career in finance in 2018. Patrick has worked at 2 firms and has passed the Series 66, Series 99TO, Series 57TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Patrick Sean Goggins's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 7, 2021 - Present
MIRAE ASSET SECURITIES (USA) INC.
Office #1: 810 Seventh Avenue 37th Floor, New York, NY 10019February 21, 2019 - February 5, 2020
EQUITABLE ADVISORS, LLC
September 4, 2018 - February 5, 2020
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/7/2021)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 10/4/2021
Securities Trader ExamCboe BZX Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
MEMX LLC
NYSE Arca, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
MIRAE ASSET SECURITIES (USA) INC.
CRD#: 30679 / SEC#: , 8-45034
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
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.
