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PATRICIA BROWN KUMMER
CRD#: 1363057
IA
B
MARINER WEALTHCRD#: 140195 8871 Ridgeline Blvd, Suite 100
Highlands Ranch, CO 80129
Highlands Ranch, CO 80129
MSEC, LLCCRD#: 154327 8871 Ridgeline Blvd
Suite 100
Highlands Ranch, CO 80129
Suite 100
Highlands Ranch, CO 80129
0
Disclosures
39
Years of Experience
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State Registrations
B
Arizona 1/12/2018
B
Minnesota 4/18/2018
B
California 1/12/2018
B
Oklahoma 4/18/2018
B
Colorado 1/12/2018
B
Pennsylvania 6/4/2018
IA
Colorado 3/16/2018
B
South Dakota 9/21/2021
B
District of Columbia 12/1/2022
B
Virginia 1/12/2018
B
Florida 1/12/2018
B
Washington 10/31/2022
B
Kansas 1/12/2018
B
Wisconsin 10/31/2022
SRO Registrations
B
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IA
Registered with this firm since 3/16/2018
B
Registered with this firm since 1/12/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/10/2018 - 12/31/2018 | Highlands Ranch, CO | |
IA | 01/01/1999 - 03/29/2018 | HIGHLANDS RANCH, CO | |
B | 07/06/2009 - 01/12/2018 | HIGHLANDS RANCH, CO | |
B | 10/31/2005 - 07/08/2009 | HIGHLANDS RANCH, CO | |
B | 05/19/1992 - 10/31/2005 | PHOENIX, AZ | |
B | 06/14/1988 - 05/19/1992 | ||
B | 01/02/1987 - 05/12/1988 | ||
B | 05/06/1985 - 12/09/1986 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.