Patrick S. Jage
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 Steven Jage, who also goes by Patrick S Jage, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1977. Patrick had worked at 8 firms and has passed the Series 65, Series 63, Series 5, PC 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
March 26, 2001 - November 4, 2002
BIRKELBACH INVESTMENT SECURITIES, INC.
February 19, 1998 - April 3, 2001
PEREGRINE FINANCIALS & SECURITIES, INC.
August 1, 1996 - April 6, 1998
GLOBAL INVESTMENT SERVICES, INC.
July 5, 1988 - July 1, 1996
CIBC WORLD MARKETS CORP.
December 8, 1986 - July 8, 1988
WILLIAM BLAIR
December 29, 1981 - December 12, 1986
KIDDER, PEABODY & CO. INCORPORATED
August 2, 1979 - January 6, 1982
CIBC WORLD MARKETS CORP.
September 26, 1978 - August 17, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 1, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 5
Date: 10/19/1981
Interest Rate Options ExaminationPC
Date: 7/19/1979
AMEX Put and Call ExamCurrent Firm
BIRKELBACH INVESTMENT SECURITIES, INC.
CRD#: 11490 / SEC#: , 8-22772
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARL MAX BIRKELBACH TRUST, | TRUST IS OWNER/SHAREHOLDER OF BD | |
| ZUREK, JAMES T | CCO-TEXAS/ROP | 824892 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 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.
