Patricia FlaggCRD Number: 3151931
Current Firm: H.d. Vest Advisory Services, Inc.
Patricia Flagg (CRD# 3151931) is an Investment Advisor Representative working at H.d. Vest Advisory Services, Inc. in Farmingdale, ME and has over 18 years of experience in the finance industry.
Saltwater Harbor Financial LLC
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Cuna Brokerage Services, Inc.
|Hd Vest Insurance Agency Inc.||Irving, TX||Jul 2016 - Current||1|
|H.d. Vest Advisory Services||Gardiner, ME||Jun 2008 - Current||9|
|H.d. Vest Investment Services||Farmingdale, ME||Nov 1998 - Current||18|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 1999|
|S66||NASAA Uniform Combined State Law Examination||May 2008|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management9,187MILLIONS
Total Number of Accounts50,531ACCOUNTS
Average Account Value$181,805
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV