Patricia D. Martin
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.
Patricia Dianne Martin, who also goes by Pat Cochenour, Patricia Dianne Cochenour, Dianne Martin, Patricia D Martin, Patricia Diane Morgan, Patricia Dianne Morgan, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1979. Patricia had worked at 8 firms and has passed the Series 63, Series 7, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2011 - June 8, 2012
INVEST FINANCIAL CORPORATION
April 4, 2000 - December 31, 2009
SOUTHERN FARM BUREAU FUND DISTRIBUTOR, INC.
May 7, 1999 - January 20, 2000
PRUCO SECURITIES, LLC.
September 12, 1994 - March 29, 1999
PRINCIPAL SECURITIES, INC.
January 17, 1992 - May 28, 1993
METROPOLITAN LIFE INSURANCE COMPANY
April 14, 1987 - August 28, 1991
AETNA LIFE INSURANCE AND ANNUITY COMPANY
September 10, 1980 - November 13, 1986
TOWER SQUARE SECURITIES, INC.
December 17, 1979 - September 27, 1980
HIMCO DISTRIBUTION SERVICES COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 12/10/1979
Registered Representative ExaminationCurrent Firm
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 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.
