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Dorothy R. Patton Wilson

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CRD#: 1127149
DP

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Dorothy Rose Patton Wilson, who also goes by Dorothy Rose Patton, Dorothy Patton, Dottie Patton, Dorothy Patton Wilson, Dorothy Rose Pattonwilson, Dottie Rose Pattonwilson, Dorothy Rose Wilson, was a registered financial professional .

Dorothy is a previously registered financial professional and started their career in finance in 1984. Dorothy had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dorothy Rose Patton | Dorothy Patton | Dottie Patton | Dorothy Patton Wilson | Dorothy Rose Pattonwilson | Dottie Rose Pattonwilson | Dorothy Rose Wilson

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 7, 2008 - November 11, 2015

FIRST INDEPENDENT FINANCIAL SERVICES, INC.

BD
CRD#: 128904
TULSA, OK
Past

June 29, 2000 - December 20, 2006

CULLUM & BURKS SECURITIES, INC.

BD
CRD#: 46600
DALLAS, TX
Past

October 19, 1992 - December 31, 1999

MOMENTUM INDEPENDENT NETWORK INC.

BD
CRD#: 17587
DALLAS, TX
Past

July 30, 1990 - November 14, 1990

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

July 30, 1990 - November 14, 1990

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY
Past

August 8, 1988 - February 24, 1989

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
Past

April 11, 1988 - April 20, 1988

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

June 20, 1984 - January 28, 1985

BRYAN, WORLEY & CO., INC.

BD
CRD#: 12992
Past

March 11, 1984 - November 11, 1986

MORGAN STANLEY DW INC.

BD
CRD#: 7556

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/5/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/11/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/16/1984
General Securities Representative Examination

Current Firm

FI
FIRST INDEPENDENT FINANCIAL SERVICES, INC.
FIRST INDEPENDENT ADVISORY SERVICES, INC. | FIRST INDEPENDENT FINANCIAL SERVICES, INC.

CRD#: 128904 / SEC#: , 8-66183

BD
Terminated by SEC on 02/15/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Oklahoma since 03/27/2003
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PALMER, PHILLIP HOWARDPRESIDENT/SEC./TREAS./CCO1037871
BENNETT, NOEL DAVIDCHIEF OPERATIONS OFFICER1751557
PATTERSON, RICHARD EUGENECHIEF FINANCIAL OFFICER1762082

Disclosures

Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

FIRST INDEPENDENT FINANCIAL SERVICES, INC.

CRD#: 128904

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