Patrick L. Alt
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 Leonard Alt was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1979. Patrick had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 53 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
August 2, 2004 - May 8, 2018
WELLS FARGO SECURITIES, LLC
September 29, 2000 - July 13, 2004
BANC ONE CAPITAL MARKETS, INC.
October 1, 1999 - August 24, 2000
WELLS FARGO CLEARING SERVICES, LLC
August 18, 1998 - April 5, 1999
JACKSON SECURITIES LLC
February 2, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
September 11, 1995 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.
October 3, 1994 - May 18, 1995
MORGAN KEEGAN & COMPANY, LLC
January 12, 1993 - October 3, 1994
J. LEE PEELER & COMPANY, INC.
May 24, 1979 - January 14, 1993
SUMMERS & COMPANY, 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
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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