Stephen F. Caton
Professional summary
Stephen Francis Caton, CFP®, who also goes by Stephen F Caton, Steve Caton, is a registered financial advisor currently at PATRON PARTNERS, LLC located in Houston, Texas.
Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Stephen has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Francis Caton's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1991
Experience
October 2, 2020 - Present
PATRON PARTNERS, LLC
Office #1: 11700 Katy Freeway Suite 100, Houston, TX 77079January 6, 2009 - October 13, 2020
UBS FINANCIAL SERVICES INC.
January 6, 2009 - October 13, 2020
UBS FINANCIAL SERVICES INC.
November 7, 1983 - January 9, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 19, 1983 - January 9, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
PATRON PARTNERS, LLC
CRD#: 310629 / SEC#: 801-119522
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(2/23/2022)
(3/20/2024)
(5/12/2021)
(10/2/2020)
Exams
Current Firm
PATRON PARTNERS, LLC
CRD#: 310629 / SEC#: 801-119522
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 659 |
| AUM (Assets Under Management) | $ 349,195,764 |
Red Flags
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