James R. Patton
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.
James Ralph Patton, who also goes by Jim Patton, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 7 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2008 - December 31, 2013
JAMES R. PATTON INVESTMENT ADVISOR
January 11, 2008 - September 4, 2008
RBC CAPITAL MARKETS, LLC
January 11, 2008 - September 4, 2008
RBC CAPITAL MARKETS, LLC
April 26, 1996 - January 15, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 26, 1996 - January 15, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 12, 1991 - May 1, 1996
UBS FINANCIAL SERVICES INC.
April 11, 1988 - August 29, 1991
LEHMAN BROTHERS INC.
May 12, 1984 - April 11, 1988
E. F. HUTTON & COMPANY INC
January 26, 1984 - May 22, 1984
WADDELL & REED
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
Series 8
Date: 5/30/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
JAMES R. PATTON INVESTMENT ADVISOR
CRD#: 148332 / SEC#:
Contact information
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.
