I am a seasoned Financial Advisor and Registered Broker regulated by FINRA (CRD#: 3100502) with over 23 years of experience in the securities and investment industry. I am currently affiliated with Commonwealth Financial Network (CRD#: 8032) in Allentown, Pennsylvania.

Over the course of my career, I have held positions with respected firms such as Morgan Stanley, Merrill Lynch, and Tocqueville Securities L.P., building a strong record in client portfolio management, investment strategy, and long-term wealth growth. My professional journey reflects a deep commitment to client success, financial excellence, and integrity in every aspect of advisory service.

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Years of Experience

Securities & Investments

FINRA Registered Broker

About Me

Trusted Financial Guidance
Built on Experience and Integrity

I am a FINRA-regulated financial advisor (CRD#: 3100502) with more than 23 years of experience in securities and investment management. I am currently registered with Commonwealth Financial Network (CRD#: 8032) in Allentown, Pennsylvania, where I provide clients with comprehensive wealth strategies and personalized financial planning. My professional background includes roles with Morgan Stanley, Merrill Lynch, and Tocqueville Securities L.P., where I developed deep expertise in portfolio management, client relations, and long-term financial growth solutions.

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Investment Strategies

Customized plans that align with each client’s financial goals, emphasizing diversification, growth, and stability.

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Client Partnerships

Building long-term relationships based on transparency, trust, and a shared commitment to achieving lasting financial success.

Connect

Professional Experience

2013 – Present

Registered Representative

Commonwealth Financial Network (CRD#: 8032), Allentown, PA

At Commonwealth Financial Network, I serve as a Registered Representative providing strategic financial guidance to individuals, families, and business entities. My responsibilities include developing customized investment portfolios, overseeing wealth management strategies, and delivering comprehensive retirement planning solutions. I leverage advanced analytical tools to evaluate market trends, ensuring that client investments align with their long-term objectives. My tenure reflects a reputation for ethical financial practice, transparency, and consistent portfolio growth.

2009 – 2013

Financial Advisor

Morgan Stanley Smith Barney LLC (CRD#: 149777)

As a Financial Advisor at Morgan Stanley Smith Barney, I advised a diverse client base on asset allocation, mutual funds, and fixed-income products. I developed tailored financial strategies that balanced capital preservation with long-term growth. My insights into tax-efficient investments and portfolio diversification helped clients achieve measurable financial stability, even amid volatile markets. This period solidified my reputation as a disciplined and client-focused financial advisor.

2000 – 2009

Registered Broker

Merrill Lynch, Pierce, Fenner & Smith Incorporated (CRD#: 7691)

I began my long-term career in finance at Merrill Lynch, where I developed a strong foundation in brokerage operations, client acquisition, and securities trading. I managed diverse investment portfolios and supported clients in achieving their financial goals through structured equity and fixed-income products. My early experience at Merrill Lynch fostered a deep understanding of compliance, financial ethics, and client relationship management.

1998 – 2000

Investment Associate

Tocqueville Securities L.P. (CRD#: 40631)

At Tocqueville Securities, I worked as an Investment Associate assisting in market research, securities evaluation, and client investment reporting. I supported senior advisors with analytical insights into asset performance and contributed to the development of diversified investment strategies that aligned with client objectives and risk tolerance.

Job History

Active

Securities & Investment Advisory

FINRA Registered Representative (CRD#: 3100502)

Specializing in securities trading, investment strategy, and regulatory compliance, Patricia provides professional guidance under FINRA and SEC supervision. my advisory work ensures that all financial recommendations adhere to industry standards and serve clients’ best interests.

Ongoing

Portfolio Management

Comprehensive Wealth and Retirement Planning

I design personalized investment portfolios that balance risk and return. My focus areas include retirement income planning, wealth preservation, and diversification across asset classes to ensure long-term financial stability and growth.

Ongoing

Client Relationship Management

Long-term Advisory and Strategic Planning

With a client-first philosophy, I build enduring relationships founded on trust, education, and proactive communication. I help clients navigate financial milestones through continuous engagement and adaptive strategy reviews.

Continuing

Ethics & Compliance

Adhering to FINRA and SEC Regulatory Standards

I maintain strict adherence to FINRA, SEC, and firm-level ethical standards. I consistently update my compliance training and integrate ethical considerations into every aspect of my financial advisory and investment management practice.



My Services

Strategic Financial Solutions
for Sustainable Growth

I offer professional financial guidance and portfolio management solutions designed to help clients build, protect, and optimize their wealth. My services are driven by a disciplined approach that combines market insight, regulatory integrity, and personalized financial strategies tailored to each client’s goals.

Portfolio Management

95%

I design and manage customized investment portfolios that align with each client’s objectives and risk tolerance. My approach combines market analytics, asset diversification, and performance monitoring to achieve consistent, long-term growth.

Financial Consulting & Advisory

90%

I provide personalized financial consulting that empowers clients to make informed, data-driven decisions. From asset allocation to business succession strategies, I help structure investments that align with both short-term priorities and long-term objectives.

Wealth & Retirement Planning

88%

I create comprehensive wealth and retirement plans that prioritize stability, income sustainability, and legacy preservation. My goal is to help clients achieve lifelong financial independence through disciplined planning and adaptive investment strategies.

Regulatory Compliance Consulting

92%

I help financial professionals and organizations maintain compliance with FINRA, SEC, and state regulations. Drawing from my experience in compliance and operations, I guide firms in establishing sound procedures that safeguard clients and ensure ethical practices.

Client Testimonials

Real Experiences from Satisfied Clients

The success of my work is reflected in the trust and satisfaction of my clients. Here’s what they have to say about working with me on their financial planning, investment strategies, and long-term portfolio management.

David Thompson

David Thompson

Entrepreneur

Working with my financial consultant has completely transformed how I manage my investments. He helped me create a structured plan that aligns with my business goals and personal finances. His insight into market opportunities and risk management has been invaluable. I now feel more confident and in control of my financial future.

Elizabeth Carter

Elizabeth Carter

Corporate Executive

I came to him looking for guidance on retirement planning and portfolio diversification. From the very first meeting, his professionalism and clarity stood out. He took time to understand my financial goals and created a personalized plan that has exceeded my expectations. I’ve seen measurable growth and peace of mind ever since.

Michael O'Connor

Michael O'Connor

Investor

I’ve worked with several advisors in the past, but this experience has been the most transparent and effective. My portfolio is now well-balanced, with steady returns and reduced exposure to volatility. His consistent communication and data-driven insights make all the difference. I highly recommend his services to anyone serious about long-term wealth building.

Sarah Johnson

Sarah Johnson

Small Business Owner

Managing both business and personal finances used to be overwhelming for me. Since working with my consultant, I have a clearer picture of how to grow, save, and invest effectively. His approach is patient, honest, and data-backed. I’ve seen incredible improvements in both financial performance and confidence.

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