Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you J? Claim Your ProfileJ.L. Patty has been in the financial services industry since 1984. J.L. Patty is currently a registered representative with Wells Fargo Clearing Services, LLC and is registered to provide investment advisory services in Indiana and Kentucky. J.L. Patty has previously been registered with Prudential Securities Incorporated, ISFA Corporation, Traub and Company, Inc. and Heinold Securities, Inc.. J.L. Patty holds FINRA Series 3, 7, and 63 licenses as well as the SIE and Series 65 licenses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
KY
07/11/2005 - Present
Wells Fargo Clearing Services, LLC (LOUISVILLE KY)
NY
06/07/1989 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
01/02/1987 - 06/13/1989
ISFA CORPORATION
NA
09/24/1985 - 07/24/1986
TRAUB AND COMPANY, INC.
NA
11/21/1984 - 03/12/1985
HEINOLD SECURITIES, INC.
IA
Issued 11/10/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/27/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/08/1989
Series 3 - National Commodity Futures Examination
BC
Issued 11/17/1984
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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