Patrick F. Allison
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 Fleming Allison was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1979. Patrick had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 7, Series 9, Series 10, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 11, 2012 - March 14, 2013
MORGAN KEEGAN & COMPANY, LLC
April 11, 2012 - March 14, 2013
MORGAN KEEGAN & COMPANY, LLC
October 18, 1994 - December 31, 2023
RAYMOND JAMES & ASSOCIATES, INC.
October 18, 1994 - December 31, 2023
RAYMOND JAMES & ASSOCIATES, INC.
September 26, 1994 - October 18, 1994
RAYMOND JAMES & ASSOCIATES, INC.
September 4, 1990 - September 30, 1994
WELLS FARGO CLEARING SERVICES, LLC
September 1, 1988 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
September 1, 1987 - September 1, 1988
BOETTCHER & COMPANY, INC.
July 23, 1987 - September 1, 1987
LOVETT MITCHELL WEBB & GARRISON, INC.
August 7, 1985 - July 31, 1987
KIDDER, PEABODY & CO. INCORPORATED
September 19, 1979 - August 19, 1985
E. F. HUTTON & 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
Series 5
Date: 10/5/1981
Interest Rate Options ExaminationSeries 8
Date: 1/7/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MORGAN KEEGAN & COMPANY, LLC
CRD#: 4161 / SEC#: 801-19665, 8-15001
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | |
| BARKLEY, JOSEPH CLARENCE | OPERATIONS MANAGER - MANAGING DIRECTOR | 1373033 |
| BEAUPREZ, JACQUELINE ANN | CHIEF COMPLIANCE OFFICER / BROKER DEALER | 4075012 |
| CARSON, JOHN CONGLETON JR | CEO | 1307784 |
| FRANZ, RICHARD BONAFIELD II | CHIEF FINANCIAL OFFICER & TREASURER | 1402348 |
| MATECKI, PAUL LOUIS | GENERAL COUNSEL | 1173122 |
Disclosures
| Regulatory Event | 86 |
| Civil Event | 9 |
| Arbitration | 173 |
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.
