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Patricia Ann McGivern

Assetmark Brokerage, LLC

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About Patricia Ann McGivern

Patricia McGivern is a financial professional with over 30 years of experience in the industry. Currently, Patricia McGivern is registered with Assetmark Brokerage, LLC and has been with the firm since August 2014. Prior to this, Patricia McGivern held positions at Capital Brokerage Corporation, Charles Schwab & Co., Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated and Piper, Jaffray & Hopwood Incorporated. Patricia McGivern is licensed to provide securities advice in Arizona.

Firm Information

Patricia McGivern is currently registered with Assetmark Brokerage, LLC. Assetmark Brokerage, LLC is a Limited Liability Company formed in 2013 and approved to operate in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm is registered with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

168

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Patricia McGivern’s Registration & Firm History

AZ

08/15/2014 - Present

Assetmark Brokerage, LLC (Phoenix AZ)

VA

06/21/2011 - 08/15/2014

CAPITAL BROKERAGE CORPORATION (GLEN ALLEN VA)

MN

11/29/1995 - 01/31/2011

CHARLES SCHWAB & CO., INC. (MINNEAPOLIS MN)

NY

04/23/1990 - 10/30/1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

MN

11/06/1989 - 03/03/1990

PIPER, JAFFRAY & HOPWOOD INCORPORATED (MINNEAPOLIS MN)

NY

07/18/1989 - 11/01/1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 09/26/1989

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/14/1998

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/15/1989

Series 7 - General Securities Representative Examination

BC

Issued 05/17/1985

Series 3 - National Commodity Futures Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Patricia Ann McGivern.
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