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NP

Nicholas H. Patton

Some features on this profile are disabled
CRD#: 1545508
NP

Professional summary

Nicholas Harrel Patton JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Nicholas is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Nicholas had worked at 7 firms, which includes BROOKSTREET SECURITIES CORPORATION, STIFEL NICOLAUS & COMPANY INCORPORATED, MORGAN KEEGAN & COMPANY LLC, PRUDENTIAL EQUITY GROUP LLC, A. G. EDWARDS & SONS INC., FIRST AFFILIATED SECURITIES INC., SWINK & COMPANY INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nick Patton Jr | Nick 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 13, 2002 - November 26, 2003

BROOKSTREET SECURITIES CORPORATION

BD
CRD#: 14667
SAN JUAN CAPISTRANO, CA
Past

February 9, 2000 - June 11, 2002

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
ST. LOUIS, MO
Past

June 23, 1997 - February 15, 2000

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN
Past

April 11, 1995 - June 19, 1997

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

November 17, 1987 - March 29, 1995

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO
Past

January 7, 1987 - December 4, 1987

FIRST AFFILIATED SECURITIES, INC.

BD
CRD#: 6871
Past

September 4, 1986 - December 5, 1986

SWINK & COMPANY, INC.

BD
CRD#: 7111

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/29/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/16/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 7/25/2000
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 7/10/2000
General Securities Sales Supervisor - Options Module Examination

Current Firm

BS
BROOKSTREET SECURITIES CORPORATION
BROOKSTREET CAPITAL MANAGEMENT | TMG SECURITIES, INC. | FINANCIAL MANAGEMENT ADVISORS,INC. | BROOKSTREET SECURITIES CORPORATION

CRD#: 14667 / SEC#: , 8-31032

BD
Cancelled by SEC on 10/26/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 05/24/1982
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BROOKS FAMILY TRUST, STANLEY BROOKS TRUSTEESHAREHOLDER / OWNER
BROOKS, STANLEY CLIFTONPRESIDENT AND TRUSTEE OF BROOKSTREET FAMILY TRUST31684

Disclosures

Regulatory Event25
Civil Event1
Arbitration22

Red Flags

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Company Information

BROOKSTREET SECURITIES CORPORATION

CRD#: 14667

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