Patricia A. Ross
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 Ann Ross, who also goes by Patricia Ann Mecklenburg, Patricia Ann Ross, was a registered financial advisor .
Patricia is a previously registered financial advisor and started their career in finance in 1980. Patricia had worked at 20 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 24, Series 4 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 26, 2019 - March 21, 2024
SECURITIES AMERICA, INC.
February 22, 2019 - November 22, 2019
FIRST ALLIED SECURITIES, INC.
December 1, 2016 - March 2, 2017
LAMPERT CAPITAL MARKETS INC.
December 5, 2014 - August 5, 2016
FIRST ALLIED SECURITIES, INC.
September 14, 2009 - April 25, 2012
UVEST FINANCIAL SERVICES GROUP, INC.
November 6, 2007 - December 17, 2012
LPL FINANCIAL LLC
January 26, 2007 - August 14, 2007
EQUITY SERVICES, INC.
November 13, 2006 - October 22, 2007
INSPHERE SECURITIES, INC.
August 21, 2006 - November 6, 2006
UHY CAPITAL GROUP, LLC
July 10, 2002 - December 16, 2004
AVANTAX ADVISORY SERVICES
June 26, 2002 - September 23, 2004
AVANTAX INVESTMENT SERVICES, INC.
June 18, 2002 - June 24, 2002
WELLS FARGO SECURITIES, LLC
June 4, 2002 - July 16, 2002
WELLS FARGO INVESTMENTS, LLC
August 15, 2001 - June 24, 2002
WELLS FARGO SECURITIES, LLC
June 5, 2001 - November 2, 2001
WELLS FARGO SECURITIES INC.
December 13, 2000 - July 16, 2002
WELLS FARGO INVESTMENTS, LLC
February 10, 1999 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
May 9, 1996 - December 11, 1996
FIRST INTERSTATE INVESTMENTS,INC.
September 23, 1988 - May 2, 2001
WELLS FARGO SECURITIES INC.
May 4, 1988 - August 22, 1988
CHRISTOPHER WEIL & COMPANY, INC
March 13, 1987 - April 4, 1988
JUDY & ROBINSON SECURITIES, INC
June 20, 1986 - July 23, 1987
ROSS, PFAELZER & ASSOC. INC.
January 6, 1984 - August 25, 1986
CYPRES, ROSS AND ASSOCIATES, INC.
October 28, 1980 - September 24, 1981
SUTRO & CO. INCORPORATED
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
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.
