Patricia Pittman Terminated by TD Private Client Wealth
Patricia Pittman (CRD #: 6319969) has been fired by TD Private Client Wealth. This is according to her BrokerCheck record, accessed on December 15, 2023. Keep reading if you have questions about her alleged conduct.
On October 23, 2023, TD Private Client Wealth fired Patricia Pittman following allegations that she improperly altered a previously executed client document, causing the firm to maintain inaccurate books and records. FINRA Rule 4511 requires that firms maintain accurate books and records.
The firm further alleged that she violated firm policies by forwarding business-related materials to her personal email account. FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade and violating firm policies may violate this rule.
Patricia Pittman has passed the following exams:
- Series 65 Uniform Investment Adviser Law Examination
- Series 63 Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 6 Investment Company Products / Variable Contracts Representative Examination
Besides TD Private Client Wealth (CRD #: 6319969), she has also registered with PFS Investments (CRD #: 10111).
Kurta Law Can Help
If you have worked with Patricia Pittman and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email@example.com for a free consultation.
For nearly 20 years, Kurta Law has advocated for investors to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. Do not let securities fraud go unchecked. Start your recovery process today.