Roy D. 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.
Roy Douglas Patterson was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1985. Roy had worked at 10 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2012 - September 9, 2013
APW CAPITAL, INC.
May 15, 2012 - August 20, 2013
OLD NORTH STATE WEALTH MANAGEMENT, LLC
October 14, 2010 - December 21, 2011
MSI FINANCIAL SERVICES, INC.
December 18, 2007 - December 21, 2011
MSI FINANCIAL SERVICES, INC.
February 25, 2005 - July 25, 2007
FIRST CITIZENS INVESTOR SERVICES, INC.
November 3, 2004 - January 7, 2005
NATIONWIDE SECURITIES, LLC
September 14, 2000 - October 18, 2004
HIMCO DISTRIBUTION SERVICES COMPANY
September 15, 1999 - July 20, 2000
OSAIC FA, INC.
February 8, 1991 - September 22, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
February 8, 1991 - September 22, 1992
PRUCO SECURITIES, LLC.
October 23, 1985 - February 4, 1991
METROPOLITAN LIFE INSURANCE COMPANY
October 23, 1985 - February 4, 1991
MSI FINANCIAL SERVICES, 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
APW CAPITAL, INC.
CRD#: 43814 / SEC#: , 8-50433
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
