Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patrick? Claim Your ProfilePatrick John Smith is a licensed securities professional with over 6 years of experience in the financial services industry. Currently, Patrick John Smith is registered with Regiment Securities, LLC in Illinois and Wisconsin. Patrick John Smith has previously been registered with G2 TRADING LLC, AVATAR SECURITIES, LLC, SUMO CAPITAL, LLC, and ZYDECO TRADING, LLC. Patrick John Smith holds FINRA Series 7, 99TO, 56, and SIE licenses, as well as a Series 63 license.
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.
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.
1
2
IL
07/16/2021 - Present
Regiment Securities, LLC (Chicago IL)
IL
06/19/2018 - 03/04/2019
G2 TRADING LLC (CHICAGO IL)
NY
01/09/2017 - 01/26/2018
AVATAR SECURITIES, LLC (NEW YORK NY)
IL
03/02/2015 - 09/22/2016
SUMO CAPITAL, LLC (CHICAGO IL)
IL
04/03/2014 - 03/06/2015
ZYDECO TRADING, LLC (PALATINE IL)
BC
Issued 07/26/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 07/12/2021
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/03/2014
Series 56 - Proprietary Trader Qualification Examination
Active
Inactive
F
FINRA
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