Individual Firm
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PATRICK JOHN WITTEKIND
CRD#: 1660864
IA
B
STIFEL INDEPENDENT ADVISORS, LLCCRD#: 28218 STANLEY, NC
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6/13/2003
Customer Dispute
Settled
10/9/2002
Employment Separation After Allegations
State Registrations
B
Alabama 1/15/2025
B
North Carolina 6/29/2004
B
Arizona 3/2/2018
B
North Dakota 6/17/2024
B
California 6/29/2004
B
Ohio 6/30/2004
B
Florida 7/6/2004
B
Pennsylvania 6/30/2004
B
Georgia 7/8/2016
B
South Carolina 6/30/2004
B
Idaho 12/7/2015
B
Tennessee 8/21/2019
B
Indiana 6/30/2004
B
Texas 7/7/2004
B
Maryland 4/27/2022
IA
Texas 10/22/2009
B
New Jersey 6/30/2004
B
Washington 4/11/2017
B
New York 7/10/2004
B
Wyoming 11/7/2022
IA
North Carolina 6/22/2004
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/11/2003 - 08/13/2003 | CHARLOTTE, NC | |
B | 12/11/2002 - 08/13/2003 | ST. LOUIS, MO | |
IA | 10/12/1994 - 10/31/2002 | CHARLOTTE, NC | |
B | 09/08/1989 - 10/31/2002 | NEW YORK, NY | |
B | 03/11/1988 - 09/18/1989 | GARDEN CITY, NY | |
B | 04/29/1987 - 03/23/1988 |
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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.