Patrick J. Stephens
Professional summary
Patrick James Stephens is a registered financial professional currently at COMERICA SECURITIES located in Dallas, Texas.
Patrick is registered as a RR (Registered Representative) and started their career in finance in 2021. Patrick has worked at 2 firms and has passed the Series 63, Series 79TO, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Patrick James Stephens's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 30, 2022 - Present
COMERICA SECURITIES
Office #1: 1717 Main Street , Dallas, TX 75201August 16, 2021 - September 20, 2022
TRUIST SECURITIES, 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
(9/30/2022)
Exams
Series 79TO
Date: 10/31/2022
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 8/16/2021
General Securities Representative ExaminationFINRA
Current Firm
COMERICA SECURITIES
CRD#: 17079 / SEC#: 801-64897, 8-35001
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMERICA INVESTMENT SERVICES, INC. | SHAREHOLDER | |
| AMOS, NICHOLAS CHARLES | DIRECTOR | 2013807 |
| CARR, JAMES | DIRECTOR | 4353199 |
| MAIER, JOHN BONIFACE | DIRECTOR | 1812378 |
| MURDOCK, WILLIAM B | CEO/PRESIDENT/CHAIRMAN | 5777100 |
| SCHELL, RICHARD EDWARD | DIRECTOR/ SENIOR VICE PRESIDENT/ CCO | 1543415 |
| THAIRANI, POOJA | DIRECTOR/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 7869698 |
Regulatory assets under management
| Total Number of Accounts | 4,527 |
| AUM (Assets Under Management) | $ 2,385,128,214 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/11/2023 | ||
| 12/05/2022 |
Red Flags
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Company Information
COMERICA SECURITIES
CRD#: 17079Dallas, TX 75201TRUST BUT VERIFY
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