Patrick R. Smith
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 Richard Smith, who also goes by Patrick Smith, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 2022. Patrick had worked at 1 firm and has passed the Series 82TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2022 - May 10, 2024
GILMARTIN FINANCIAL
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 82TO
Date: 6/17/2022
Limited Representative-Private Securities OfferingsCurrent Firm
GILMARTIN FINANCIAL
CRD#: 312622 / SEC#: , 8-70713
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LEWIS, LYNN CHRISTINE | CEO, CCO, EXECUTIVE REPRESENTATIVE | |
| BRANT, DAVID ROBERT | FINOP, POO AND PFO | 2718478 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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