Roger V. Patterson
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.
Roger Vern Patterson was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1983. Roger had worked at 5 firms and has passed the Series 63, Series 3, Series 7, Series 53, Series 27, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 1990 - February 22, 1991
MALONE & ASSOCIATES, INC.
September 7, 1990 - October 23, 1990
WHITEHALL INVESTMENT SECURITIES, LTD.
June 25, 1984 - August 15, 1990
WAINWRIGHT, AUSTIN, STONE & CO.
April 19, 1984 - June 28, 1984
THE STUART-JAMES COMPANY, INCORPORATED
July 21, 1983 - April 17, 1984
RICHEY, FRANKEL & COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MALONE & ASSOCIATES, INC.
CRD#: 10412 / SEC#: , 8-27337
Contact information
Documents
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.
