Stephen Francis Caton
CFP®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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Stephen F Caton, Steve Caton
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Credentials
Years of Experience
43 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
PATRON PARTNERS ADVISORS LLC | PATRON PARTNERS, LLC
Contact Information
Main Address
11700 Katy Freeway Suite 100, Houston, TX 77079Phone Number
(971) 371-3450# of Employees
7SEC notice filing (3 States and Territories)
Registered to provide investment advisory services in 3 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
621AUM (Assets Under Management)
$325,702,333Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
PATRON PARTNERS ADVISORS LLC | PATRON PARTNERS, LLC
State Registrations and Notice Filings
(3/20/2024)
(5/12/2021)
(10/2/2020)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Stephen Francis Caton's CRS (Customer Relationship Summary).
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