Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patricia? Claim Your ProfilePatricia Kump is a financial advisor at Oppenheimer & Co. Inc. Patricia has been in the industry since May 26, 1995. Patricia holds a variety of licenses and certifications, including Series 7, Series 3, Series 10, Series 9, Series 14, Series 24, and the SIE exam. Patricia is experienced in portfolio management for individuals, businesses, and pooled investment vehicles. Patricia has worked with Freedom Investments, Inc., DST Securities, Inc., and Fahnestock & Co., Inc. in the past.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
MO
12/02/1997 - Present
Oppenheimer & Co. Inc. (KANSAS CITY MO)
NJ
10/15/2001 - 09/30/2003
FREEDOM INVESTMENTS, INC. (EDISON NJ)
MO
04/09/1996 - 08/05/1996
DST SECURITIES, INC. (KANSAS CITY MO)
NY
10/13/1993 - 12/22/1995
FAHNESTOCK & CO., INC. (NEW YORK NY)
BC
Issued 12/16/1993
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 11/26/2001
Series 24 - General Securities Principal Examination
BC
Issued 11/25/1998
Series 14 - Compliance Officer Examination
BC
Issued 06/18/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/01/2000
Series 3 - National Commodity Futures Examination
BC
Issued 10/12/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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