James F. 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.
James Francis Patterson, who also goes by Jim Patterson, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2016 - September 17, 2019
TD AMERITRADE, INC.
March 14, 2016 - September 17, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 1, 2016 - September 17, 2019
TD AMERITRADE, INC.
January 9, 2014 - April 3, 2014
CHARLES SCHWAB & CO., INC.
July 7, 2005 - April 3, 2014
CHARLES SCHWAB & CO., INC.
March 2, 1998 - July 14, 2005
RBC CAPITAL MARKETS, LLC
September 16, 1994 - March 2, 1998
DAIN RAUSCHER INCORPORATED
July 22, 1994 - September 26, 1994
PRINCIPAL FINANCIAL SECURITIES,INC.
June 19, 1985 - August 3, 1994
PIPER SANDLER & CO.
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
