Patricia B. Twining
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 Baker Twining, who also goes by P B Carroll, Patricia B Carroll, Patricia Baker Carroll, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1981. Patricia had worked at 9 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 2017 - November 9, 2017
CHATSWORTH SECURITIES LLC
May 15, 2014 - April 28, 2015
NEWPORT COAST SECURITIES, INC.
October 4, 2011 - April 24, 2012
IRC SECURITIES LLC
April 22, 1998 - October 30, 2009
NATIXIS SECURITIES AMERICAS LLC
August 30, 1995 - March 31, 1998
NATIONAL FINANCIAL SERVICES LLC
August 28, 1992 - July 27, 1995
JULIUS BAER SECURITIES INC.
March 4, 1989 - August 3, 1992
DEUTSCHE BANK CAPITAL CORPORATION
August 3, 1984 - February 22, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 23, 1981 - April 10, 1984
LEHMAN BROTHERS 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: 11/5/1998
Limited Representative-Equity Trader ExamSeries 8
Date: 7/11/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CHATSWORTH SECURITIES LLC
CRD#: 40804 / SEC#: 801-120061, 8-49199
Contact information
FINRA licenses (6 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DIFIORE, RALPH RAYMOND | SENIOR MANAGING DIRECTOR / CHIEF COMPLIANCE OFFICER / AML OFFICER / CHIEF EXECUTIVE OFFICER | 1913027 |
| FULVIO, GENNARO JOHN | FINOP | 2435828 |
| MACLEAN, DANIEL CRAWFORD | SENIOR MANAGING DIRECTOR | 1467579 |
| MATCOVSKY, JOEL JAY | SENIOR MANAGING DIRECTOR | 1769496 |
| THE ESTATE OF CURTIS E. GOWDY | ESTATE |
Disclosures
| Regulatory Event | 1 |
Red Flags
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