Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patrick? Claim Your ProfilePatrick Sinclair is a financial advisor with over 40 years of experience in the financial services industry. Patrick is currently registered with Stifel, Nicolaus & Company, Inc. Patrick has a broad range of experience in the financial services industry, including experience with previous employers like RBC Capital Markets Corporation, Sutro & Co. Incorporated and Prudential Securities Incorporated. Patrick is a licensed securities professional and holds multiple securities licenses including Series 3, 7, and 63 as well as the SIE and Series 65.
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
CA
10/22/2009 - Present
Stifel, Nicolaus & Company, Inc. (WALNUT CREEK CA)
CA
03/09/2002 - 03/13/2009
RBC CAPITAL MARKETS CORPORATION (WALNUT CREEK CA)
CA
05/24/1999 - 03/09/2002
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
NY
10/17/1986 - 05/11/1999
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
08/20/1981 - 10/16/1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 06/12/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/05/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/03/1987
Series 3 - National Commodity Futures Examination
BC
Issued 08/15/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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