Richard E. 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.
Richard Eugene Patterson was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2015 - February 16, 2016
FIRST INDEPENDENT FINANCIAL SERVICES, INC.
March 30, 2006 - December 10, 2015
FIRST INDEPENDENT ADVISORY SERVICES, INC.
February 11, 2004 - December 10, 2015
FIRST INDEPENDENT FINANCIAL SERVICES, INC.
January 18, 2002 - December 31, 2004
MOMENTUM INDEPENDENT NETWORK INC.
December 13, 1996 - December 31, 2004
MOMENTUM INDEPENDENT NETWORK INC.
November 25, 1987 - December 3, 1996
PATTERSON ICENOGLE, 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
Series 28
Date: 9/29/1995
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
FIRST INDEPENDENT FINANCIAL SERVICES, INC.
CRD#: 128904 / SEC#: , 8-66183
Contact information
Documents
Disclosures
| Arbitration | 1 |
Red Flags
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