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PATRICIA LEE
PATRICIA MOGG
CRD#: 2375125
IA
B
ADVICE AND PLANNING SERVICESCRD#: 20472 194 S Wood Ave
Iselin, NJ 08830
Iselin, NJ 08830
0
Disclosures
30
Years of Experience
View By:
State Registrations
B
Connecticut 8/28/2017
IA
New Jersey 5/22/2015
B
Delaware 10/31/2022
B
New York 5/21/2015
B
Florida 5/20/2021
IA
New York 6/19/2024
B
Massachusetts 8/28/2017
B
Pennsylvania 5/21/2015
B
New Jersey 5/21/2015
B
Tennessee 2/3/2022
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
Registered with this firm since 5/22/2015
B
Registered with this firm since 5/21/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/01/2013 - 05/08/2015 | WESTFIELD, NJ | |
B | 03/01/2013 - 05/08/2015 | WESTFIELD, NJ | |
IA | 04/24/2006 - 07/03/2012 | ISELIN, NJ | |
B | 05/18/1999 - 07/03/2012 | ISELIN, NJ | |
B | 08/03/1993 - 04/21/1999 | NEW YORK, NY |
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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.