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PATRICIA ANN STARK
PATRICIA A SWAIN, PATRICIA ANN SWAIN
CRD#: 2172837
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 70 WEST MADISON STREET
SUITE 2500
CHICAGO, IL 60602
Registration History
19952000200520102015202020252 FIRMS2014 - Present (10 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)1991 - 2014 (22 years)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)1999 - 2014 (15 years)
Disclosure(s)
View By:
12/15/2021
Customer Dispute
Settled
10/26/2012
Customer Dispute
Settled
9/5/2012
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 6/18/2014

B
Michigan 6/18/2014

B
Arkansas 7/7/2014

B
New Jersey 6/18/2014

B
California 6/18/2014

B
Ohio 6/18/2014

B
Florida 6/18/2014

B
Oklahoma 6/19/2014

B
Illinois 6/18/2014

B
Virginia 1/13/2016

IA
Illinois 6/18/2014

B
Wisconsin 6/18/2014

B
Indiana 7/1/2014

B
Wyoming 2/11/2015

B
Massachusetts 8/11/2014

SRO Registrations

B
Cboe BZX Exchange, Inc.

B
FINRA

B
NYSE American 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
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
70 WEST MADISON STREET SUITE 2500, CHICAGO, IL 60602
Registered with this firm since 6/18/2014

B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
70 WEST MADISON STREET SUITE 2500, CHICAGO, IL 60602
Registered with this firm since 6/18/2014

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/03/1999 - 06/26/2014 UBS FINANCIAL SERVICES INC. (CRD#:8174) CHICAGO, IL
B
11/11/1991 - 06/26/2014 UBS FINANCIAL SERVICES INC. (CRD#:8174) CHICAGO, IL
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B
Broker
IA
Investment Adviser
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.