Lewis T. 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.
Lewis Thomas Patterson JR, who also goes by Tom Patterson, was a registered financial professional .
Lewis is a previously registered financial professional and started their career in finance in 1985. Lewis had worked at 7 firms and has passed the SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2014 - June 4, 2015
RAYMOND C. FORBES & CO., INC.
August 28, 2014 - August 29, 2017
OPTIMA SECURITIES LLC
September 27, 2012 - March 4, 2013
SODALITE FINANCIAL SERVICES, LLC
September 27, 2012 - March 12, 2013
HOLD BROTHERS CAPITAL LLC
February 28, 2012 - September 28, 2012
FOREST ROAD SECURITIES BD LLC
January 2, 2002 - March 18, 2010
LABRANCHE FINANCIAL SERVICES, LLC
August 20, 1985 - January 2, 2002
HENDERSON BROTHERS, INC.
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
RAYMOND C. FORBES & CO., INC.
CRD#: 33090 / SEC#: , 8-25064
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND C. FORBES GST TRUST FBO C. FORBES | SHAREHOLDER | |
| RAYMOND C. FORBES GST TRUST FBO M. FORBES | SHAREHOLDER | |
| RAYMOND C. FORBES GST TRUST FBO P.J. FORBES | SHAREHOLDER | |
| RAYMOND C. FORBES GST TRUST FBO P.M. FORBES | SHAREHOLDER | |
| RAYMOND C. FORBES GST TRUST FBO R. FORBES | SHAREHOLDER | |
| FORBES, MARIE-REGINA | PRESIDENT/FINOP/TREAS/CFO/COO; SHAREHOLDER | 2106108 |
| FORBES, PATRICIA MARY | CHIEF COMPLIANCE OFFICER; SROP/CROP; SECRETARY; SHAREHOLDER | 2241513 |
| FORBES, PATRICK JOSEPH | VICE PRESIDENT SHAREHOLDER | 1940215 |
Disclosures
| Regulatory Event | 3 |
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.
