Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patricia? Claim Your ProfilePatricia Smith has been an active financial advisor in the industry since July 24, 1998. Patricia is currently registered with Cambridge Investment Research Advisors, Inc. Patricia has a strong history in the industry, with previous registrations with Transamerica Financial Advisors, Inc, Triad Advisors, Inc., NFP Securities, Inc., Elliott Davis Brokerage Services, LLC, American Securities Group, Inc., Wachovia Securities, LLC, Salomon Smith Barney Inc. and The Robinson-Humphrey Company, LLC. Patricia specializes in portfolio management for individuals and businesses, pension consulting, financial planning, and educational seminars. Patricia holds Series 63, 66, 7, and SIE licenses and has a strong reputation in the industry.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Solicitation fees from 3rd party money managers
1
2
SC
05/09/2016 - Present
Cambridge Investment Research Advisors, Inc. (Greenville SC)
SC
01/19/2016 - 05/10/2016
TRANSAMERICA FINANCIAL ADVISORS, INC (GREENVILLE SC)
SC
03/13/2015 - 12/01/2015
TRIAD ADVISORS, INC. (Greenville SC)
SC
05/02/2012 - 02/27/2013
NFP SECURITIES, INC. (GREENVILLE SC)
SC
02/02/2009 - 05/31/2012
ELLIOTT DAVIS BROKERAGE SERVICES, LLC (GREENVILLE SC)
SC
05/01/2006 - 01/26/2009
AMERICAN SECURITIES GROUP, INC. (GREENVILLE SC)
MO
05/31/2002 - 04/25/2006
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
01/02/2002 - 06/11/2002
SALOMON SMITH BARNEY INC. (NEW YORK NY)
GA
06/10/1996 - 01/02/2002
THE ROBINSON-HUMPHREY COMPANY, LLC (ATLANTA GA)
BOTH
Issued 03/21/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/10/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/07/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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