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CP

Charles R. Patton

STRATEGIC ADVISERS LLC
BEDFORD, NY
Some features on this profile are disabled
CRD#: 1427668
CP

Professional summary

Charles R. Patton, who also goes by Charles Patton, Chuck Patton, Charles Ross Patton, is a registered financial advisor currently at STRATEGIC ADVISERS LLC located in Bedford, New York and FIDELITY BROKERAGE SERVICES LLC located in Scarsdale, New York.

Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Charles has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 9, Series 10 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Charles Patton | Chuck Patton | Charles Ross Patton

Other business activities

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.
OBA-89198|OrgNmn:Bedford Village Lions Club|Org Addr:Bedford,New York,US|OBA Nature:Bedford Village Chapter of Lio|Invst Rel:N|Title:Officer|Duties:Volunteer for local Lions Club charitable organization focusing on community charity|StrtDt:|TotHrs/mon:2|TrdHrs/mon:0|OBA-89200|OrgNmn:Pound Ridge Tennis Club|Org Addr:Pound Ridg,New York,US|OBA Nature:Tennis Club|Invst Rel:N|Title:Director of Tennis Court Maintena|Duties:Director of Tennis Court Maintenance|StrtDt:|TotHrs/mon:2|TrdHrs/mon:0|

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles R. Patton's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 31, 2025 - Present

STRATEGIC ADVISERS LLC

Office #2: 799 Central Park Ave Greenville Shopping Center, Scarsdale, NY 10583-2507
RIA
CRD#: 104555
BEDFORD, NY
Current

August 10, 2022 - Present

FIDELITY BROKERAGE SERVICES LLC

Office #1: 799 Central Park Ave. Greenville Shopping Center, Scarsdale, NY 10583
BD
CRD#: 7784
SCARSDALE, NY
Past

August 22, 2022 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
SCARSDALE, NY
Past

October 7, 2015 - August 3, 2022

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
New York City, NY
Past

October 6, 2015 - August 3, 2022

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
New York City, NY
Past

April 16, 2010 - September 10, 2015

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
WEEHAWKEN, NJ
Past

April 16, 2010 - September 10, 2015

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

May 3, 2006 - June 25, 2009

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
STAMFORD, CT
Past

May 2, 2006 - June 25, 2009

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

April 13, 2000 - May 1, 2006

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
PURCHASE, NY
Past

November 17, 1992 - May 1, 2006

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

April 3, 1987 - November 19, 1992

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

December 17, 1985 - April 13, 1987

MORGAN STANLEY DW INC.

BD
CRD#: 7556

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM

CRD#: 104555 / SEC#: 801-13243

RIA
Registered Investment Advisory firm - (8/11/1977 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(8/10/2022)
RR
Florida
(8/10/2022)
RR
Massachusetts
(11/29/2023)
RR
New Jersey
(8/10/2022)
RR
New York
(8/10/2022)
IAR
New York
(3/31/2025)
RR
Pennsylvania
(8/10/2022)
RR
Texas
(11/29/2023)
IAR
Texas
(3/31/2025)
RR
Utah
(11/29/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/5/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/3/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 1/28/2003
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 12/14/1985
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 8
Date: 9/29/1998
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange

Current Firm

SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM

CRD#: 104555 / SEC#: 801-13243

RIA
Registered Investment Advisory firm - (8/11/1977 Approved)
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Contact information

Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FIDELITY GO (12/5/2025)
FIDELITY STRATEGIC DISCIPLINES (11/10/2025)
FIDELITY WEALTH SERVICES (9/10/2025)
STRATEGIC ADVISERS LLC (9/10/2025)
FIDELITY MANAGED FIDFOLIOS (3/31/2025)
FIDELITY WEALTH ADVISOR SOLUTIONS (3/31/2025)
FIDELITY PERSONALIZED PLANNING & ADVICE AT WORK (3/31/2025)

Regulatory assets under management

Total Number of Accounts2,486,631
AUM (Assets Under Management)$ 1,067,664,605,590

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/24/2025
Cover Page
Report

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.

Company Information

STRATEGIC ADVISERS LLC

CRD#: 104555Bedford, NY

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