Ernesto J. Pataky
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.
Ernesto Jose Pataky was a registered financial professional .
Ernesto is a previously registered financial professional and started their career in finance in 1979. Ernesto had worked at 4 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 21, 1991 - September 5, 2001
BRADESCO INVESTMENTS INC.
February 5, 1991 - April 17, 1991
HENCORP, INC.
February 24, 1987 - May 23, 1990
LEHMAN BROTHERS INC.
September 21, 1979 - June 17, 1986
LADENBURG THALMANN & CO. 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
BRADESCO INVESTMENTS INC.
CRD#: 19453 / SEC#: , 8-37483
Contact information
FINRA licenses (25 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
