Gloria J. 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.
Gloria Jeanne Patterson was a registered financial advisor .
Gloria is a previously registered financial advisor and started their career in finance in 1987. Gloria had worked at 6 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
March 7, 2006 - December 31, 2007
CASCADE FINANCIAL MANAGEMENT, INC.
April 3, 2002 - June 10, 2013
CLIENT 1ST ADVISORY GROUP
January 2, 1997 - September 12, 2002
PROVISE MANAGEMENT GROUP, LLC
April 28, 1995 - February 3, 2003
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 31, 1992 - March 10, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 19, 1992 - March 12, 1992
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 26, 1990 - February 19, 1992
OPPENHEIMER & CO. INC.
September 30, 1987 - December 31, 1988
CONCOURSE FINANCIAL GROUP SECURITIES, 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
CASCADE FINANCIAL MANAGEMENT, INC.
CRD#: 119030 / SEC#: 801-64346, 8-53730
Contact information
FINRA licenses (1 States and Territories)
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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