Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tricia? Claim Your ProfileTricia Anne Klocke is a registered representative with Fidelity Brokerage Services LLC. Tricia has been in the securities industry since 1996 and has a broad range of experience. Tricia is licensed in several states and holds a number of securities licenses, including Series 7, Series 9, Series 10, Series 4, Series 63, and Series 99.
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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KY
04/12/2010 - Present
Fidelity Brokerage Services LLC (COVINGTON KY)
KY
06/14/2010 - 09/25/2013
NATIONAL FINANCIAL SERVICES LLC (COVINGTON KY)
KY
05/24/2007 - 03/12/2010
NATIONAL FINANCIAL SERVICES LLC (COVINGTON KY)
KY
09/25/1996 - 12/07/2006
FIDELITY BROKERAGE SERVICES LLC (COVINGTON KY)
BC
Issued 05/10/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/20/2008
Series 4 - Registered Options Principal Examination
BC
Issued 11/09/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/09/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/24/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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