Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patrick? Claim Your ProfilePatrick Dolan is a financial professional with over 20 years of experience in the financial services industry. Patrick is currently registered with Apex Clearing Corp. and has previously held positions with firms such as Coda Markets, Inc., Electronic Transaction Clearing, Inc., Cowen and Company, and UBS Securities LLC. Patrick holds the Series 7, Series 24, Series 4, Series 55, and Series 63 securities licenses.
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.
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2
NY
11/04/2020 - Present
Apex Clearing Corp. (New York NY)
IL
06/16/2022 - 05/01/2024
CODA MARKETS, INC. (WILMETTE IL)
CA
11/02/2020 - 03/16/2023
ELECTRONIC TRANSACTION CLEARING, INC. (LOS ANGELES CA)
NY
10/27/2017 - 10/11/2018
COWEN AND COMPANY (NEW YORK NY)
NY
12/22/2009 - 10/11/2018
COWEN EXECUTION SERVICES LLC (NY NY)
NY
06/25/2007 - 12/15/2009
NYFIX MILLENNIUM, L.L.C. (NEW YORK NY)
NY
04/20/2005 - 09/13/2005
UBS SECURITIES LLC (NEW YORK NY)
CT
06/30/2003 - 05/25/2005
UBS CAPITAL MARKETS L.P. (STAMFORD CT)
NY
07/01/1998 - 04/08/2003
SG COWEN SECURITIES CORPORATION (NEW YORK NY)
NY
06/14/1995 - 07/01/1998
COWEN & CO. (NEW YORK NY)
NE
07/28/1994 - 06/15/1995
NATIONAL DISCOUNT BROKERS (OMAHA NE)
NY
04/27/1994 - 05/11/1994
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BC
Issued 08/04/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/16/2009
Series 4 - Registered Options Principal Examination
BC
Issued 06/11/2004
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/26/1998
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 04/26/1994
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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