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Detailed Report
PATRICIA GEORGIA FRENCH
PATRICIA GEORGIA ECHOLES, GEORGIA ECHOLS, PATRICIA GEORGA ECHOLS, PATRICIA GEORGINA ECHOLS, PATRICIA GEORGA ECHOLSFRENCH…
CRD#: 1870361
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 941 Houston Northcutt Blvd
Suite 100
Mt. Pleasant, SC 29464
Registration History
199019952000200520102015202020252 FIRMS1989 - 1989 (<1 year)2 FIRMS2001 - 2013 (11 years)2 FIRMS2013 - 2015 (2 years)2 FIRMS2015 - Present (9 years)BPRESIDENTIAL BROKERAGE, INC. (CRD# 28784)1998 - 2001 (3 years)BWALDRON & CO., INC. (CRD# 868)1997 - 1998 (1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1994 - 1997 (3 years)BCHATFIELD DEAN & CO., INC. (CRD# 14714)1989 - 1994 (4 years)
Disclosure(s)
View By:
7/6/1999
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 3/30/2016
B
New York 9/16/2015
B
California 9/16/2015
IA
New York 6/20/2024
IA
California 6/20/2024
B
North Carolina 9/16/2015
B
Colorado 9/16/2015
B
Ohio 9/23/2015
IA
Colorado 6/20/2024
B
Oregon 9/16/2015
B
Florida 9/16/2015
B
South Carolina 9/16/2015
B
Georgia 9/16/2015
IA
South Carolina 9/16/2015
IA
Georgia 6/21/2024
B
Tennessee 10/12/2017
B
Illinois 5/12/2023
B
Texas 9/16/2015
B
Maine 12/13/2022
IA
Texas 4/4/2016
B
Maryland 9/16/2015
B
Virginia 9/16/2015
B
Massachusetts 3/30/2018
B
Washington 9/16/2015
B
New Jersey 9/16/2015

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
941 Houston Northcutt Blvd Suite 100, Mt. Pleasant, SC 29464
Charleston, SC
Registered with this firm since 9/16/2015
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
941 Houston Northcutt Blvd Suite 100, Mt. Pleasant, SC 29464
Charleston, SC
Registered with this firm since 9/16/2015
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/02/2013 - 09/24/2015 BB&T SECURITIES, LLC (CRD#:142785) MYRTLE BEACH, SC
B
 01/02/2013 - 09/24/2015 BB&T SECURITIES, LLC (CRD#:142785) MYRTLE BEACH, SC
IA
 10/05/2001 - 01/02/2013 SCOTT & STRINGFELLOW, LLC (CRD#:6255) MT. PLEASANT, SC
B
 08/15/2001 - 01/02/2013 SCOTT & STRINGFELLOW, LLC (CRD#:6255) MT. PLEASANT, SC
B
 09/28/1998 - 09/13/2001 PRESIDENTIAL BROKERAGE, INC. (CRD#:28784) AUSTIN, TX
B
 08/15/1997 - 10/09/1998 WALDRON & CO., INC. (CRD#:868)
FINRA expelled the firm on 10/31/2000
IRVINE, CA
B
 06/14/1994 - 08/20/1997 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 10/03/1989 - 07/08/1994 CHATFIELD DEAN & CO., INC. (CRD#:14714) GREENWOOD VILLAGE, CO
B
 03/29/1989 - 10/07/1989 B C FINANCIAL CORPORATION (CRD#:13460)
FINRA expelled the firm on 03/16/1992
B
 01/19/1989 - 02/27/1989 POWER SECURITIES CORPORATION (CRD#:15527)
FINRA expelled the firm on 03/16/1990
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.