Patrick J. Simmons
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 John Simmons was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1980. Patrick had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 14, 1998 - December 18, 2012
ALAMO CAPITAL
August 13, 1991 - April 8, 1998
T.J. THOMPSON & ASSOCIATES, INC.
June 11, 1990 - September 24, 1991
HARRISON SECURITIES, INC.
October 11, 1985 - June 6, 1990
R.W. SMITH & ASSOCIATES, LLC
November 18, 1982 - June 4, 1985
HAMMOND, PETERS & SMITH, INC.
October 6, 1981 - June 19, 1984
MORGAN STANLEY DW INC.
August 22, 1980 - August 12, 1981
HSBC BROKERAGE (USA) 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
Current Firm
ALAMO CAPITAL
CRD#: 26193 / SEC#: , 8-42293
Contact information
FINRA licenses (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14 |
| AUM (Assets Under Management) | $ 81,684,700 |
Disclosures
| Regulatory Event | 3 |
| Bond | 3 |
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.
