Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patrick? Claim Your ProfilePatrick Crowley is a financial advisor with over 30 years of experience in the financial services industry. Patrick is currently registered with Stifel, Nicolaus & Company, Inc., a firm based in St. Louis, Missouri. Previously, Patrick was registered with Wells Fargo Clearing Services, LLC and UBS Financial Services Inc. Patrick has held a variety of positions, including financial advisor and investment advisor representative. Patrick Crowley holds the Series 3, 7, 9, 10, 63 and 66 licenses, as well as the SIE exam. Patrick specializes in providing financial planning, portfolio management, and investment advice to individuals and businesses.
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.
1
2
NC
01/06/2022 - Present
Stifel, Nicolaus & Company, Inc. (WINSTON-SALEM NC)
NC
04/05/2007 - 01/18/2022
WELLS FARGO CLEARING SERVICES, LLC (WINSTON SALEM NC)
NC
08/14/2000 - 04/19/2007
UBS FINANCIAL SERVICES INC. (WINSTON-SALEM NC)
NY
03/20/1998 - 08/14/2000
J.C. BRADFORD & CO. (NEW YORK NY)
NC
03/31/1993 - 04/03/1998
WHEAT, FIRST SECURITIES, INC. (CHARLOTTE NC)
NY
06/16/1992 - 04/02/1993
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
BOTH
Issued 12/28/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/30/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/22/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/22/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/28/2001
Series 3 - National Commodity Futures Examination
BC
Issued 06/15/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX 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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