Patricia D. Hester
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 Diana Hester, who also goes by Patricia Diana Foggo, Patricia D Hester, Patricia D Foggo Hester, was a registered financial advisor .
Patricia is a previously registered financial advisor and started their career in finance in 1980. Patricia had worked at 5 firms and has passed the Series 65, Series 63, Series 55, Series 15, Series 3, Series 5, Series 7, Series 24, Series 28, Series 53, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2004 - August 3, 2005
B. RILEY WEALTH MANAGEMENT
January 2, 2002 - August 28, 2002
GREEN SQUARE SECURITIES, LLC
October 24, 2000 - August 3, 2005
B. RILEY WEALTH MANAGEMENT
September 17, 1996 - October 20, 2000
LEGACY SECURITIES CORP.
August 9, 1995 - August 8, 1996
J.J.B. HILLIARD, W.L. LYONS, LLC
June 27, 1980 - August 20, 1993
UBS FINANCIAL SERVICES INC.
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 55
Date: 5/2/2000
Limited Representative-Equity Trader ExamSeries 15
Date: 4/12/1983
Foreign Currency Options ExaminationSeries 5
Date: 3/23/1982
Interest Rate Options ExaminationSeries 28
Date: 4/1/2003
Introducing Broker/Dealer Financial Operations Principal ExaminationSeries 12
Date: 6/20/1981
NYSE Branch Manager ExaminationCurrent Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
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.
