Patricia A. Hefner
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 Hefner, who also goes by Patricia Ann Oneill, was a registered financial professional .
Patricia is a previously registered financial professional and started their career in finance in 1977. Patricia had worked at 6 firms and has passed the Series 63 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
February 3, 1986 - August 28, 1989
ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.
March 9, 1983 - December 27, 1984
RICHEY, FRANKEL & COMPANY
November 9, 1982 - March 28, 1983
CHARLTON INVESTMENT SERVICES CORPORATION
March 10, 1980 - March 9, 1982
G. S. OMNI CORPORATION
March 7, 1978 - January 21, 1980
NTB FINANCIAL CORPORATION
October 26, 1977 - April 6, 1978
FIRST FINANCIAL 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
Exams
Current Firm
ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.
CRD#: 8350 / SEC#: , 8-25105
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HORNING, STEPHEN JAMES | DIRECTOR/PRESIDENT | 250316 |
| VANTREUREN, RALPH DAVID | DIRECTOR/VICE PRESIDENT | 453387 |
| LLOYD, MARY CAROLYNE | SHAREHOLDER(RESIGNED AS DIRECTOR 03/02) | |
| ZALES, MICHAEL JACOB | DIRECTOR/VICE PRESIDENT | 475699 |
| BLANKENHEIM, GEORGE THOMAS | SECRETARY/TREASURER | 23218 |
| CLARKE, JUDITH VAN BROCKLIN | TRADER | 1014789 |
| COX, NEIL AMEL | DIRECTOR/VICE PRESIDENT | 806126 |
| DASCALOS, JAMES | DIRECTOR | |
| MAXEY, CRAIG ALLEN | SROP-CROP/VICE PRESIDENT | 820099 |
| SMITH, ROBERT LEE | DIRECTOR |
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
| 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.
