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JP

James T. Patten

Some features on this profile are disabled
CRD#: 1143818
JP

Professional summary

James Thomas Patten was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial professional and started their career in finance in 1983. Prior to being barred, James had worked at 7 firms, which includes EMPIRE FINANCIAL GROUP INC., T.R. WINSTON & COMPANY LLC, GREATER METROPOLITAN INVESTMENT SERVICES INC., MOORE & SCHLEY CAMERON & CO., PHILIPS APPEL & WALDEN INC., WILLIAM SCOTT & CO. L.L.C., PATTEN SECURITIES CORP..

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

March 16, 2005 - May 9, 2006

EMPIRE FINANCIAL GROUP, INC.

BD
CRD#: 28759
BEDMINSTER, NJ
Past

June 23, 2004 - March 1, 2005

T.R. WINSTON & COMPANY, LLC

BD
CRD#: 10571
BEDMINSTER, NJ
Past

February 14, 2000 - October 28, 2004

GREATER METROPOLITAN INVESTMENT SERVICES, INC.

BD
CRD#: 17452
BEDMINSTER, NJ
Past

September 26, 1988 - October 5, 1998

GREATER METROPOLITAN INVESTMENT SERVICES, INC.

BD
CRD#: 17452
BEDMINSTER, NJ
Past

June 1, 1988 - December 1, 1988

MOORE & SCHLEY, CAMERON & CO.

BD
CRD#: 6917
Past

May 27, 1987 - June 14, 1988

PHILIPS, APPEL & WALDEN, INC.

BD
CRD#: 659
Past

December 8, 1986 - May 12, 1987

WILLIAM SCOTT & CO. L.L.C.

BD
CRD#: 14979
Past

September 15, 1983 - February 27, 1987

PATTEN SECURITIES CORP.

BD
CRD#: 8210

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
IAR
Series 65
Date: 6/23/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/31/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 3/1/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 1/11/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 28
Date: 5/9/2002
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/26/2000
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/4/1989
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 8/29/1988
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 8/6/1983
Financial and Operations Principal Examination

Current Firm

EF
EMPIRE FINANCIAL GROUP, INC.
EMPIRE FINANCIAL GROUP, INC.

CRD#: 28759 / SEC#: , 8-43949

BD
Terminated by SEC on 05/23/2009
PREMIUM
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 09/01/1990
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
JESUP AND LAMONT, INCHOLDING COMPANY
UCHENIK, VLADFINOP, COO, CFO4071805

Disclosures

Regulatory Event10
Arbitration7

Red Flags

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

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Company Information

EMPIRE FINANCIAL GROUP, INC.

CRD#: 28759

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